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Announcement Of New Rulemaking Database, SEC Chair Mary Jo White, Sept. 24, 2015

Date 24/09/2015

Strong regulations are central to the Commission’s mission. For more than 80 years, we have used rulemaking to establish a comprehensive framework for our securities markets that protects investors, enhances market integrity, and promotes capital formation. The rulemaking process is the means through which the Commission responds to the ever-changing securities markets, targets and attacks harmful practices in those markets, and meets the goals mandated by Congress. Our rules provide important standards against which we assess compliance in our examinations and hold wrongdoers accountable in our enforcement actions.
CFTC Orders Russian Resident Yakov Shlyapochnik And His Connecticut-Based Company, Nord Capital Advisors, LLC, To Pay A $280,000 Penalty For Failing To Disclose Company’s Principal In Registration Filings And For Company’s Fraudulent Solicitation - Shlyapochnik And Nord Capital Advisors, LLC Are Permanently Barred From The U.S. Commodities Industry

Date 24/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Russian citizen, Yakov Shlyapochnik, and his Connecticut-based company, Nord Capital Advisors, LLC (NCA), to jointly and severally pay a $280,000 civil monetary penalty for failing to disclose NCA’s principal in registration filings and for engaging in fraud in soliciting prospective clients by failing to disclose material changes in NCA’s algorithmic trading program. The CFTC Order also imposes permanent trading and registration bans on Shlyapochnik and NCA and prohibits them from further violations of the Commodity Exchange Act (CEA) and CFTC Regulations, as charged.
California Lt. Governor Gavin Newsom And Golden State Warriors Celebrate Grand Opening Of The Nasdaq Entrepreneurial Center

Date 24/09/2015

The Nasdaq Entrepreneurial Center today opened the doors to its 13,000 square-foot, ultra-modern facility in San Francisco's South Financial District. California Lt. Gov. Gavin Newsom and 2015 NBA Champion Golden State Warriors Center, Festus Ezeli, joined Nasdaq officials, CEO Bob Greifeld and Vice Chairman Bruce Aust, in ringing the Nasdaq Closing Bell remotely from San Francisco in celebration of the Center's launch.
SEC Proposes to Amend Rules Governing Administrative Proceedings

Date 24/09/2015

The Securities and Exchange Commission today announced it has voted to propose amendments to rules governing its administrative proceedings.
Statement Of CFTC Chairman Timothy G. Massad Regarding Nodal Clear, LLC Registration As A Derivatives Clearing Organization

Date 24/09/2015

I am pleased that the Commission has approved this new clearing organization, which will provide additional clearing opportunity for energy market participants. Central clearing is an important way to monitor and mitigate risk of derivatives transactions. This approval reflects the fact that Nodal has implemented policies and procedures to comply with our requirements designed to ensure that clearinghouses operate safely and that customers are protected.

Canadian Securities Regulators Finalize Significant Changes To The Rights Offering Regime

Date 24/09/2015

The Canadian Securities Administrators (CSA) today announced the final implementation of a streamlined prospectus exemption for rights offerings by reporting issuers. The amendments to the rights offering regime are intended to address concerns expressed to the CSA by certain market participants that issuers seldom use the prospectus-exempt rights offering to raise capital because of the associated time and cost.
CFTC Grants Nodal Clear, LLC Registration As A Derivatives Clearing Organization

Date 24/09/2015

The U.S. Commodity Futures Trading Commission (Commission) today issued an order granting Nodal Clear, LLC (Nodal Clear) registration as a derivatives clearing organization (DCO) based on Section 5b of the Commodity Exchange Act.
CalPERS Announces Results Of Its 2015 PRI Assessment Report

Date 24/09/2015

The California Public Employees' Retirement System (CalPERS) has released the results of its Principles for Responsible Investment (PRI) Assessment Report. CalPERS received an A+ for the 2015 Overarching Approach Module, which is the highest grade a signatory can receive under the PRI assessment scheme.
Wall Street Firms Are Turning To Social Media Analytics, Focusing On Five Specific Approaches To Mine Data, According To TABB Research

Date 24/09/2015

Social media analytics’ adoption has moved beyond an embryonic stage where primary users have been hedge funds and quant firms. Increased adoption by long-only and fundamental asset managers has focused on five specific approaches to mining data and a push for better integration into workflows as the playing field continues to expand. However, according to new TABB Group research, it’s not a question of if, but how quickly it will be adopted by a wider range of firms.
CFTC Orders Cargill de México SA De CV To Pay $500,000 For Unlawfully Executing Wash Sales On The CBOT And KCBT

Date 24/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against commodities trading company Cargill de México SA De CV (Cargill de México) for executing wash trades involving corn, soybean, and wheat futures contracts on the Chicago Board of Trade (CBOT) and wheat futures contracts on the Kansas City Board of Trade (KCBT). The CFTC order requires that Cargill de México pay a $500,000 civil monetary penalty.