News Centre

Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date April 29, 2016

Date 11/05/2016

At the end of the settlement date of April 29, 2016, short interest in 2,313 Nasdaq Global MarketSM securities totaled 7,785,833,668  shares compared with 8,009,519,261  shares in  2,305  Global Market issues reported for the prior settlement date of April 15, 2016. The end-of-April short interest represents 4.83 days average daily Nasdaq Global Market share volume for the reporting period, compared with  5.12  days for the prior reporting period.

NYSE, NYSE Arca And NYSE MKT Short Interest Reports

Date 11/05/2016

NYSE today reported short interest as of the close of business on the settlement date of April 29 2016

Statement Of CFTC Chairman Timothy Massad In Support Of The Proposed Amendment To The RTO-ISO Order

Date 10/05/2016

The proposal we have approved today would amend a 2013 CFTC order that exempted specified transactions of six independent system operators (ISOs) and regional transmission organizations (RTOs) from certain provisions of the Commodity Exchange Act (CEA). That order explicitly did not exempt ISOs and RTOs from the general CEA provisions that prohibit fraud and manipulation. If adopted, the proposed amendment would make clear that this exemption does not prohibit private rights of action for violations of the very same anti-fraud and anti-manipulation provisions that are explicitly reserved in the order.

STOXX Announces Results Of Annual Emerging And Developed Markets Classification Review

Date 10/05/2016

STOXX Ltd., the operator of Deutsche Boerse Group’s index business, and a global provider of innovative and tradable index concepts, today announced the results of the annual Emerging and Developed Markets Country Classificationreview. All changes will become effective at market open on Sep. 19, 2016.

Statement Of Dissent By CFTC Commissioner J. Christopher Giancarlo On The Proposed Amendment To The RTO-ISO Order

Date 10/05/2016

I dissent from the proposed amendment to the final RTO-ISO Order issued by the Commission in 2013.

For over three years, U.S. power market participants have been operating in reliance on the RTO-ISO Order. They have trusted in the reasonable, unambiguous understanding that transactions covered by the Order are exempt from all provisions of the Commodity Exchange Act (“CEA or Act”) except for those specifically enumerated as reserved (the “Reserved Provisions”). They have relied on the plain language of the RTO-ISO Order that “[e]xempts … the execution of [specified] electric energy-related agreements, contracts and transactions … and any person or class of persons offering, entering into, rendering advice or rendering other services with respect thereto, from all provisions of the CEA except, in each case, the Commission’s general anti-fraud and anti-manipulation authority, and scienter-based prohibitions ....”Too bad for them."

Remarks At The North American Electronic Bond Trading Forum By Jonathan S. Sokobin, FINRA Chief Economist And Senior Vice President

Date 10/05/2016

Electronic Trading in the Bond Markets

Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets.

Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was launched in 1971—helped transform trading in the U.S. equities market. On the equities side, strong investor demand for faster executions, lower trading costs and more complete market information through limit order books helped spur the movement toward electronic trading. Today, nearly all stock markets both here in the U.S. and abroad are electronic.

CFTC Issues Proposed Amendment To The 2013 Final Order Regarding RTOs And ISOs

Date 10/05/2016

The U.S. Commodity Futures Trading Commission (CFTC) today issued a proposed amendment to a final order the CFTC issued on March 28, 2013 that exempted certain specified transactions of six Regional Transmission Organizations and Independent System Operators (RTO-ISO Order) from certain provisions of the Commodity Exchange Act (CEA) and CFTC regulations.

Office Of Financial Research Update: “Developing Best Practices For Regulatory Data Collections”

Date 10/05/2016

The OFR today issued the Viewpoint Series, a new series representing the views of the OFR. The first viewpoint is entitled, “Developing Best Practices for Regulatory Data Collections,” which is accompanied by a blog by OFR Director Richard Berner.

Keynote Address Of CFTC Commissioner J. Christopher Giancarlo Before The Markit Group, 2016 Annual Customer Conference New York, “Blockchain: A Regulatory Use Case”, May 10, 2016

Date 10/05/2016

U.S. Treasury Department Issues White Paper On Online Marketplace Lending Industry - “Opportunities And Challenges In Online Marketplace Lending”

Date 10/05/2016

The U.S. Treasury Department today issued a white paper regarding its review of the online marketplace lending industry. The white paper titled, “Opportunities and Challenges in Online Marketplace Lending,” provides an overview of what the Treasury Department heard in response to its Request for Information, and it contains research on and recommendations for the industry.