News Centre

Richard G. Ketchum, FINRA Chairman And Chief Executive Officer - National Association Of College And University Business Officers New York, NY, February 6, 2014

Date 06/02/2014

Thank you, Bob [Shea], for that introduction. I am honored to be here and I appreciate your interest in how FINRA protects America's financial system and investors.

I want to talk to you today about two roles FINRA plays that are key to our mission of investor protection and market integrity—and that intersect with your role as stewards of your institutions' financial well-being. Since some of you may not be familiar with FINRA, I want to start by telling you who we are. FINRA is the Financial Industry Regulatory Authority—an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA regulates about 4,100 brokerage firms and about 635,000 registered securities representatives. We are out there on the ground and in the field every single day—in offices all across the country—overseeing virtually every aspect of the securities business.

CFTC’s Division Of Clearing and Risk Issues No-Action Letter For ASX Clear (Futures) Pty Limited

Date 06/02/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Clearing and Risk (DCR) today issued a time-limited no-action letter stating that DCR will not recommend that the Commission take enforcement action against the Australian-based clearing organization, ASX Clear (Futures) Pty Limited (ASXCLF), for failing to register as a derivatives clearing organization (DCO) under Section 5b(a) of the Commodity Exchange Act (CEA).

BATS Global Markets, FINRA Enter Regulatory Service Agreement - With The Addition Of BATS, FINRA Will Conduct Cross-Market Surveillance For Nearly 100 Percent Of U.S. Equities Trading

Date 06/02/2014

BATS Global Markets, Inc. (BATS) has signed an agreement with the Financial Industry Regulatory Authority (FINRA), the independent, non-governmental regulator for all securities firms doing business with the public in the United States, to provide cross-market surveillance services to BATS' four stock exchanges- BZX, BYX, EDGX and EDGA, along with certain other regulatory services.

CME Beef Industry Scholarship Celebrates 25 Years With 25 Scholarships

Date 06/02/2014

For cattlemen and women, investing in the future and ensuring the next generation has the skills and knowledge to lead the industry is of paramount importance. We’re proud to have partnered with the CME Group in this effort for what will be our 25th year through the CME Beef Industry Scholarship.

Joaquín Almunia, Vice President Of The European Commission Responsible For Competition Policy - Opening A Path For Recovery: Competition In Financial Markets, University College London, London, 6 February 2014

Date 06/02/2014

Members of the faculty,
Ladies and Gentlemen:

I would like to thank the UCL Economics and Finance Society for inviting me to University College London. It is an honour for me to speak at one of Britain’s leading centres of higher education.

TMX Group Equity Financing Statistics - January 2014 - Toronto Stock Exchange, TSX Venture Exchange

Date 06/02/2014

TMX Group today announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for January 2014.

TheCityUK Responds To Latest FDI Data From ONS

Date 06/02/2014

Responding to the ONS data on foreign direct investment (FDI), Chris Cummings, Chief Executive at TheCityUK, said:

“Figures released this morning by the Office for National Statistics show that the UK continues to be a key destination for financial services investments. Foreign companies have invested nearly £100bn into the UK financial services sector since the start of the economic slowdown in 2007, more than in any other sector. In fact, the financial services sector accounted for nearly a third of all FDI into the UK during this period."

S&P Dow Jones-GSCI Commodity Indices Market Attributes Report - Commodities Market Performance In January 2014

Date 06/02/2014

S&P GSCI:

The S&P GSCI posted a loss of 1.6% in January; year-over-year returns down 6.9%.

• Natural gas and coffee were the best-performing commodities in the index, up 18.0% and 13.1% for the month.
• Wheat and aluminum performed the worst in January, down 8.2% and 6.1%, respectively.
• Livestock (up 4.0%) and precious metals (up 2.5%) were the leading performers for the month. 

European Small Caps Positive Year-To-Date As Of Feb 4 As ECB Prepares Policy Decision, According To Russell Investments

Date 06/02/2014

Small-cap stocks have outperformed their large-cap counterparts in Europe and other developed global markets year-to-date as of February 4, according to the Russell Global Indexes. And according to market experts at Russell, while there may still be room for the European equity market to grow, near-term investor sentiment may hinge in part on upcoming ECB action on interest rates and how it is interpreted by investors.

S&P Dow Jones-UBS Commodity Indices Market Attributes Report - Commodities Market Performance In January 2014

Date 06/02/2014

Dow Jones-UBS Commodity Index:

The DJ-UBS Commodity Index posted a gain of 0.3% in January; year-over-year returns down 11.4%.

• Energy was up 3.4%, and livestock was up 4.3% in January.
• The best-performing commodities were natural gas, up 17.9% and coffee, up 13.1% for the month.
• Wheat was down 8.2% and aluminum was down 6.10% on the month.