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NZX To Introduce Performance Metrics, Confirms Investor Day

Date 20/12/2018

The NZX has previously acknowledged that a group of shareholders had expressed public concern about the exchange’s strategy and the perceived execution of it.
ASIC Reviews Allocations Practices In Equity Raising Transactions

Date 19/12/2018

ASIC's review of allocations in equity raising transactions underscores the potential impact of conflicts of interests in allocation decisions. ASIC highlights areas of improvement for both financial services licensees (licensees) and issuers when raising equity on our listed markets.
Superintendent Maria T. Vullo To Depart New York State Department Of Financial Services After Three Years Of Service To New Yorkers

Date 19/12/2018

“After three incredibly rewarding years as DFS Superintendent, I have informed the Governor that I have decided not to continue to serve in this role for his third term. I thank the Governor for the tremendous opportunity to serve the People of New York in this important role of lasting impact. It has been a true privilege to serve as DFS Superintendent, particularly during a time when DFS’s voice has been vital to protecting New Yorkers from federal government actions and to filling the voids in necessary consumer and market protections. DFS has championed key legislative initiatives over these past few years, and so I will remain as DFS Superintendent to see DFS’s initiatives through the proposed executive budget, and will leave DFS on February 1, 2019.”
SEC Adopts Transaction Fee Pilot For NMS Stocks

Date 19/12/2018

The Securities and Exchange Commission today announced that it has voted to adopt new Rule 610T of Regulation NMS to conduct a Transaction Fee Pilot in NMS stocks. The pilot is designed to generate data that will help the Commission analyze the effects of exchange transaction fee and rebate pricing models on order routing behavior, execution quality, and market quality generally. Data from the Pilot will be used to facilitate an empirical evaluation of whether the exchange transaction-based fee and rebate structure is operating effectively to further statutory goals and whether there is a need for any potential regulatory action in this area.
OneChicago Trading Hours

Date 19/12/2018

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

Statement At Open Meeting On Proposed Rule 12d1-4 Under The Investment Company Act Of 1940 Governing Fund Of Funds Arrangements, By SEC Commissioner Kara M. Stein

Date 19/12/2018

June 28, 2018I would like to join the Chairman in thanking the staff for their hard work on this proposed rule[1] and for answering all of my many questions. In particular, I would like to thank Joel Cavanaugh, John Foley, Jacob Krawitz, Melissa Gainor, Brian Johnson, and Sarah ten Siethoff.
American Financial Exchange (AFX) Announces Deere As First Corporation To Join Exchange

Date 19/12/2018

American Financial Exchange (AFX), an electronic exchange for direct lending and borrowing for American financial institutions, announced today that Deere & Company has joined the Exchange, the first corporation to do so.
Statement On Rule 194, Applications By Security-Based Swap Dealers Or Major Security-Based Swap Participants For Statutorily Disqualified Associated Persons To Effect Or Be Involved In Effecting Security-Based Swaps, By SEC Commissioner Kara M. Stein

Date 19/12/2018

I want to join the Chairman in thanking the staff for the hard work that went into this release and all of the other security-based swap rules.
CFTC Swaps Report Update

Date 19/12/2018

CFTC's Weekly Swaps Report has been updated, and is now available.
Statement On Proposed Rule Regarding Risk Mitigation Techniques For Uncleared Security-Based Swaps By SEC Commissioner Kara M. Stein

Date 19/12/2018

I want to join the Chairman in thanking all of the staff for the hard work that went into this release. In particular I would like to thank Carol McGee, Andrew Bernstein, Burt Porter, Claire O’Sullivan, and Hari Phatak.