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  • Commissioner Aguilar: Looking Back At The SEC’s Transformation (And A Few Other Things) - Commissioner Luis A. Aguilar, U.S. Securities and Exchange Commission [*]

    Date 21/12/2015

    I started my tenure as an SEC Commissioner in the late summer of 2008, only a few weeks before the collapse of Lehman Brothers and the financial turmoil that followed, and only a few months before one of the largest financial frauds in U.S. history—the Bernard Madoff Ponzi scheme—was exposed. Beyond their obviously substantial impact on the capital markets and the greater economy, these historical events demonstrated that the Commission needed to change and adapt if it was to continue to be an effective regulator. Indeed, in late 2008 and in 2009, the continuing existence of the Commission was a matter of serious speculation. Thus, whether by coincidence or circumstance—some would say a fate of timing—it is not surprising that my tenure has corresponded with one of the most transformational periods in the SEC’s august history.

  • FINRA Sanctions Cantor Fitzgerald & Co. $7.3 Million For Selling Billions Of Unregistered Microcap Shares, And For Related Supervisory And AML Violations - Trader And Supervisor Suspended And Fined

    Date 21/12/2015

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Cantor Fitzgerald & Co. $6 million and ordered disgorgement of nearly $1.3 million in commissions, plus interest, for selling billions of unregistered microcap shares in violation of federal law. Cantor Fitzgerald & Co. was also sanctioned for failing to have adequate supervisory or anti-money laundering (AML) programs tailored to detect "red flags" or suspicious activity connected to its microcap activity. In addition, two of the firm's business executives were suspended and fined: Jarred Kessler, Executive Managing Director of Equity Capital Markets during the relevant period, was suspended for three months in a principal capacity and fined $35,000 for supervisory failures; and equity trader Joseph Ludovico was suspended in all capacities for two months and fined $25,000.

  • Industry Steering Committee Publishes Playbook For Implementing T+2 Settlement Cycle In U.S. By The End Of 3Q 2017

    Date 21/12/2015

    The T+2 Industry Steering Committee (T+2 ISC) today published an Implementation Playbookdeveloped with Deloitte Advisory. The Playbook provides a detailed timeline, milestones and dependencies that impacted market participants should consider in order to migrate to a two-day settlement cycle (T+2) from the current three-day settlement cycle for U.S. equities, corporate and municipal bonds, and unit investment trust (UIT) trades by the end of Q3 2017.  

  • OneChicago Holiday Schedule

    Date 21/12/2015

    In observance of the upcoming holiday, OneChicago will follow the schedule below, which is consistent with U.S. equity markets.

  • ESMA Issues Favourable Opinion Extending Greek HCMC Short Selling Ban

    Date 21/12/2015

    The European Securities and Markets Authority (ESMA) has issued its official opinion agreeing to an extension of the emergency short selling prohibition by the Hellenic Capital Market Commission (HCMC) on the shares of certain credit institutions under the Short Selling Regulation that expires at 24:00:00 (CET) on Monday 21 December 2015.

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