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CFTC Commissioner Behnam To Participate In A Fireside Chat At The U.S. Chamber Of Commerce

Date 04/06/2019

WHAT:	CFTC Commissioner Rostin Behnam will participate in a fireside chat moderated by John Soroushian, Senior Policy Analyst, Bipartisan Policy Center at an event on Transitioning from LIBOR: What it Means for Main Street & Wall Street, presented by the U.S. Chamber of Commerce’s Center for Capital Markets Competiveness, the Bipartisan Policy Center, and the International Swaps and Derivatives Association
WHEN:	Monday, June 10, 2019 11:00 a.m.
WHERE:	U.S. Chamber of Commerce 1615 H Street, NW Washington, DC 20062

Marshall Gandy Named Co-Head Of SEC’s Investment Adviser/Investment Company Examination Program

Date 04/06/2019

The Securities and Exchange Commission today announced that Marshall Gandy has been named Co-National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE).
CFTC Financial Data For Futures Commission Merchants Update

Date 04/06/2019

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.
BOX Exchange: Market Simulation For New Disaster Recovery Site

Date 04/06/2019

On July 29th, 2019 BOX Exchange LLC (“BOX” or the “Exchange”) will be moving its Disaster Recovery site from Toronto to Chicago (Equinix CH1).
ESMA Chair Steven Maijoor Addresses FESE 2019 Convention Opening Dinner

Date 04/06/2019

Steven Maijoor, Chair of the European Securities and Markets Authority, has addressed the opening of FESE's 2019 Convention this evening in Dublin.

19th Amendment Lessons For 2019’s Advocates: Remarks To The National Association Of Women Business Owners, Martha Miller SEC Advocate For Small Business Capital Formation

Date 04/06/2019

Good morning, women advocates! It is a pleasure to join you on your Advocacy Day in Washington, DC. Knowing that time is the greatest resource a business owner has, I thank you for committing your time today to championing the needs of the over 10 million women-owned businesses in the U.S. that you represent. I look forward to hearing from you on how the U.S. Securities and Exchange Commission can work to address issues that you face in accessing capital. I should note that the views I express today represent my own and not necessarily those of the Commission or staff, a standard disclaimer you may hear from many you meet with in DC.
Office Of The Comptroller Of The Currency Extends Dodd-Frank Act Stress Test Requirements Through November 25, 2019

Date 04/06/2019

Because national banks and federal savings associations (FSAs) with consolidated assets between $100 billion and $250 billion will not be subject to the Dodd-Frank Act Stress Test (DFAST) requirements as of November 24, 2019, the OCC extended the deadline for compliance with the DFAST requirements for those banks to November 25, 2019.
Remarks Of CFTC Chairman J. Christopher Giancarlo At Guildhall, London - “The Future Of The City Of London: Global, European Financial Center”

Date 04/06/2019

INTRODUCTION: Freedom of the City

My Lord Mayor, Aldermen, Sheriffs, Chief Commoner, and very distinguished guests, it is a distinct privilege to speak to you this evening. I thank Catherine McGuiness and the City of London Corporation for inviting me to speak here again in the magnificent setting of Guildhall.
Vienna Stock Exchange - Austrian Traded Index (ATX): New Free Float Factors For BAWAG Group And Erste Group Bank

Date 04/06/2019

The Vienna Stock Exchange announces new free float factors for Austrian indices, following the quarterly review of the calculation parameters. Within its leading national index ATX, the free float factor of BAWAG Group AG rises from 0.4 to 0.5, following Cerberus’ sale of a large block of shares. At Erste Group Bank AG, the free float factor will be lowered from 0.8 to 0.7 due to an increase in shares held by the foundation syndicate. The free float factor expresses how many shares of a company are distributed among the public and influences how strongly a share is weighted in the index. The maximum weight of a company in the ATX is capped at 20%, which is currently the case with Erste Group Bank AG. The changes will take effect on 21 June 2019. The next scheduled review of the composition of the ATX will take place on 3 September 2019.
SEC Charges Issuer With Conducting $100 Million Unregistered ICO

Date 04/06/2019

The Securities and Exchange Commission today sued Kik Interactive Inc. for conducting an illegal $100 million securities offering of digital tokens. The SEC charges that Kik sold the tokens to U.S. investors without registering their offer and sale as required by the U.S. securities laws.