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Sheriff Elect Of The City Of London, Alderman Professor Michael Mainelli, To Chair Mondo Visione Exchange Forum 2019

Date 02/07/2019

Sheriff Elect of the City of London, Alderman Professor Michael Mainelli will serve as chair for this year's Mondo Visione Exchange Forum, which takes place on October 1, at Haberdashers’ Hall in the City of London.

UPDATE - Nasdaq Welcomed 97 IPOs And Seven Exchange Transfers In The First Six Months Of 2019

Date 02/07/2019

Nasdaq (Nasdaq: NDAQ) announced today that in the first half of 2019 it welcomed 97 initial public offerings (IPOs), raising a total of $17.7 billion. With an 80% win rate in the U.S. market, Nasdaq has extended its leadership to 22 consecutive quarters. In addition to the IPOs, seven companies switched from the NYSE to join Nasdaq, including global healthcare leader Sanofi.

Statement By The Executive Board Of The IMF On The Nomination Of Managing Director Christine Lagarde As President Of The European Central Bank

Date 02/07/2019

The Executive Board of the International Monetary Fund (IMF) issued the following statement today following the nomination of IMF Managing Director Christine Lagarde to the presidency of the European Central Bank.

“We, the Executive Board of the IMF, take note of the nomination of IMF Managing Director Christine Lagarde as President of the European Central Bank."

NZX Shareholder Metrics June 2019

Date 02/07/2019

Please see attached NZX shareholder metrics for June 2019.

CFTC To Hold An Open Commission Meeting On July 11

Date 02/07/2019

Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo announced today that the CFTC will hold an open meeting on Thursday, July 11 at 10:00 a.m. at its headquarters in Washington, D.C. to consider the following:

• Supplemental Proposal on Exemption from Derivatives Clearing Organization Registration
• Proposed Rule on Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
• Proposed Rule on Customer Margin Rules relating to Security Futures

SEC Staff To Host July 18 Roundtable On Short-Term / Long-Term Management Of Public Companies, Our Periodic Reporting System And Regulatory Requirements

Date 02/07/2019

The Securities and Exchange Commission today announced that its Division of Corporation Finance will host a roundtable on July 18, 2019 to hear from investors, issuers, and other market participants about the impact of short-termism on our capital markets and whether our reporting system, or other aspects of our regulations, should be modified to address these concerns.

CFTC Financial Data For Futures Commission Merchants Update

Date 02/07/2019

Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example:  The 17th business day filing “due date" for February 28, 2015 financial reports was March 25, 2015.  The 12 business day target for posting these data was April 10, 2015.

FIA June 2019 SEF Tracker

Date 02/07/2019

Trading volume on SEFs reached a record level of $1 trillion in average notional value per day during June 2019, up 22.9% from the previous month and up 28.4% from a year ago.

New York State Department Of Financial Services Superintendent Lacewell Announces New Executive Appointments Steven F. Kluger To Lead Capital Markets Division - James V. Regalbuto Promoted To Deputy Superintendent For Insurance Alice Wang Mckenney Promoted To Deputy Chief, Health Bureau

Date 02/07/2019

Department of Financial Services (DFS) Superintendent Linda A. Lacewell today announced new executive appointments.  Steven F. Kluger has been appointed Executive Deputy Superintendent for Capital Markets, James V. Regalbuto has been promoted to Deputy Superintendent for Insurance, the second ranking position in the Insurance Division, and Alice Wang McKenney has been promoted to Deputy Chief of the Health Bureau.

FINRA Orders Summit Brokerage Services, Inc. To Pay More Than $550,000 In Restitution To Customers Whose Accounts Were Excessively Traded - Firm Sanctioned For Failing To Reasonably Supervise Recommended Securities Transactions And Use Of Consolidated Reports

Date 02/07/2019

FINRA announced today that it has sanctioned Summit Brokerage Services, Inc. (Summit) a total amount exceeding $880,000 for supervisory failures, including approximately $558,000 in restitution to customers whose accounts were excessively traded by a former registered representative of the firm who was previously barred by FINRA.