News Centre

S&P Dow Jones Indices Announces Changes To The S&P/TSX Canadian Indices - A Spinout For The S&P/TSX Venture Composite And Venture Select Indices

Date 05/12/2013

S&P Dow Jones Canadian Index Services will make the following changes in the S&P/TSX Canadian Indices:

The Plan of Arrangement between Fission Uranium Corp. (TSXVN:FCU) and Alpha Minerals Inc. (TSXVN:AMW) has received all shareholder and court approvals. As part of the larger transaction involving the two companies, Fission Uranium will spin out, on a 1-for-1 basis, shares of a new TSX Venture-listed company to be named Fission 3.0 Corp. The ticker symbol of Fission 3.0 is not yet known. The spun out shares of Fission 3.0 will be added at zero price to the S&P/TSX Venture Composite and Venture Select Indices after the close oftrading on Monday, December 9, 2013.

NASDAQ OMX November 2013 Volumes

Date 05/12/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for November 2013, on its investor relations website. A data sheet showing the monthly volumes can be found at: http://ir.nasdaqomx.com/monthly-reporting/

SIFMA Statement On U.S. Treasury Secretary Treasury Lew's Comments At The Pew Charitable Trusts Event

Date 05/12/2013

SIFMA today issued the following statement from former Senator Judd Gregg, SIFMA CEO, and Kenneth E. Bentsen, Jr., SIFMA president, on comments made by Treasury Secretary Lew at today's Pew Charitable Trusts event:

"SIFMA appreciates the Secretary's recognition of the global nature of markets, and the need for a deep and liquid and well-functioning US financial system.  We also appreciate his comments on the quantity of new regulations that have been imposed in the US and around the globe and the efforts to end too-big-to-fail."

Federal Reserve Board Announces Final Rule Regarding Federal Reserve Bank Accounts And Services For Financial Market Utilities Designated As Systemically Important

Date 05/12/2013

The Federal Reserve Board on Thursday issued a final rule that amends Regulation HH to set out the conditions and requirements for a Federal Reserve Bank to open and maintain accounts for and provide financial services to financial market utilities designated as systemically important by the Financial Stability Oversight Council.

Burgundy – Introduction Of Two New Automatch Segments For Exchange Traded Products

Date 05/12/2013

Oslo Børs Burgundy is expanding its offering in the Swedish market, and will add two new retail segments for Exchange Traded Products.

Federal Reserve Board Releases Guidance Reminding Financial Institutions To Exercise Appropriate Risk Management And Oversight When Using Service Providers

Date 05/12/2013

The Federal Reserve Board on Thursday released guidance reminding financial institutions it supervises to exercise appropriate risk management and oversight when using service providers.

SIFMA Submits Comments To SEC On Issues Regarding Securities Industry Processors; Provides Industry Views On Critical Market Structure Reviews

Date 05/12/2013

SIFMA today submitted a letter to Mary Jo White, chair of the Securities and Exchange Commission (SEC), in response to her recent statement on the SEC’s review of Securities Industry Processors (SIPs) following the August 22nd SIP outage that led to a halt in trading of NASDAQ-listed securities.

Opening Statement At The Proxy Advisory Services Roundtable, Commissioner Michael S. Piwowar, U.S. Securities And Exchange Commission, Proxy Advisory Firm Roundtable, Washington, D.C., Dec. 5, 2013

Date 05/12/2013

Good morning everyone and thank you for joining us to discuss the role of proxy advisory firms in our capital markets.  Thank you, Chair White, for convening this roundtable. 

FINRA Orders J.P. Turner To Pay More Than $700,000 In Restitution For Unsuitable Sales Of Leveraged And Inverse ETFs And For Excessive Mutual Fund Switching

Date 05/12/2013

The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered Atlanta-based broker-dealer J.P. Turner & Company, L.L.C. to pay $707,559 in restitution to 84 customers for sales of unsuitable leveraged and inverse exchange-traded funds (ETFs) and for excessive mutual fund switches.

Looking At Proxy Advisory Firms From The Investor’s Perspective, Commissioner Luis A. Aguilar, U.S. Securities And Exchange Commission, Proxy Advisory Firm Roundtable, Washington, D.C., Dec. 5, 2013

Date 05/12/2013

Let me start by welcoming each of the participants here today, as well as the public audience, whether here in person or watching by webcast.