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  • FINRA Joins Exchanges In Fining Newedge USA, LLC $9.5 Million For Supervisory, Regulation SHO, And Books And Records Violations

    Date 12/07/2013

    The Financial Industry Regulatory Authority (FINRA), along with BATS Exchange, Inc.1, New York Stock Exchange LLC2, NYSE Arca, Inc. and The NASDAQ Stock Market LLC, announced today that they have censured and fined Newedge USA, LLC of Chicago $9.5 million for failing to supervise trading by clients that directly accessed U.S. equities markets through Newedge's order routing platform and/or internet service providers (known as "direct market access," or "DMA") or routed orders directly to market centers (known as "sponsored access," or "SA"). In addition, Newedge also violated Regulation SHO (Reg SHO) and SEC Emergency Orders concerning short sales, and failed to obtain and retain books and records.

  • OCC Announces The Promotion Of James Knoeck To Senior Vice President - Chief Audit Executive

    Date 11/07/2013

    OCC announced today that James Knoeck has been promoted to Senior Vice President - Chief Audit Executive. Mr. Knoeck joined OCC in September as Vice President – Head of Internal Audit from the State of Wisconsin Investment Board.

  • Response Submission From AFME And ISDA To The Consultation By The Commission On The Structural Reform Of The Banking Sector

    Date 11/07/2013

    AFME and ISDA welcome the opportunity to comment on this important consultation on reforming the structure of the EU banking sector. The AFME/ISDA response to the consultation is attached.

  • FESE European Equity Market Report – June 2013 Figures

    Date 11/07/2013

    The European Equity Market Report is a piece of analysis that allows for an accurate comparison of trading statistics across European trading venues.

  • Hedge Fund Association Applauds SEC For Lifting Ban On Hedge Fund Advertising And Modernization Of Securities Laws

    Date 11/07/2013

    The Securities and Exchange Commission (“SEC”) has now adopted final rules in connection with the Jumpstart Our Business Startups (JOBS) Act, lifting an 80 year old ban on general solicitation and allowing hedge fund managers to advertise. The Hedge Fund Association (“HFA”) and its members throughout the United States applaud the SEC’s decision as a necessary modernization of the securities laws. Fundamentally, we believe that these new rules will: (i) increase public transparency regarding the alternative investment industry, including hedge funds; and (ii) facilitate capital formation and ultimately enhance the capital markets.  Though the HFA views this development as generally positive, we await publication of the new rules to determine whether particular requirements impose an unnecessary burden on our members. We are in the process of reviewing the text of the final rules, as well as gathering feedback from our members, at which time we will provide a more comprehensive commentary on behalf of the hedge fund industry. The HFA previously provided valuable comments to and materially influenced relevant provisions of The Dodd–Frank Wall Street Reform and Consumer Protection Act.

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