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  • SIFMA Testimony At House Subcommittee DOL Fiduciary Rule Hearing

    Date 14/07/2017

    Today, Jerry Lombard, President of Janney Montgomery Scott LLC's Private Client Group gave the following oral statement on behalf of SIFMA before the House Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment in a hearing entitled "Impact of the DOL Fiduciary Rule on the Capital Markets," with the full written testimony submitted for the record:   

    Chairman Huizenga, Ranking Member Maloney, and distinguished members of the Subcommittee, I am Jerry Lombard, the President of the Private Client Group at Janney Montgomery Scott, LLC.  I greatly appreciate the opportunity to testify today on behalf of the Securities Industry and Financial Markets Association (SIFMA) and share our perspective on the best path forward to establish a best interest standard for the broker dealer industry. We are grateful for this Committee's willingness to consider legislation that would allow the Securities and Exchange Commission (SEC) to establish a best interest standard for broker dealers that would create a high standard of care for retail customers across all accounts. 

  • FIA June 2017 SEF Tracker

    Date 13/07/2017

    Total trading volume on SEFs averaged $716.0 billion in notional value per day during the month of June, up 33.8% from the previous month and up 24.9% from June 2016. The increase in trading volume was driven mainly by a jump in on-SEF trading of interest rate swaps, which was up 36.7% from May 2017 and 28.6% from June 2016. 

     Overview Dashboard: a high-level view of monthly volume trends and year-to-date SEF market share.

  • Cowen’s Westminster Research Associates Named “Greenwich Quality Leader” In Greenwich Associate’s 2017 U.S. Equity Investors Study

    Date 13/07/2017

    Cowen Inc. (NASDAQ:COWN) (“Cowen” or the “Company”) today announced that Westminster Research Associates was recently named a “Greenwich Quality Leader” in the category of U.S. Equity Commission Management Service & Execution in Greenwich Associates 2017 U.S. Equity Investors’ Study. In addition, Westminster also ranked #1 in “Overall Satisfaction with Client Service” in regards to execution and service performance.  Cowen’s Westminster Research Associates is an industry-leading broker-dealer specializing in providing full-service custodial aggregation solutions and access to an extensive network of independent research to the institutional investment community.

  • Enhanced Technology To Improve IIROC's Oversight Of Canada's Capital Markets - Protects Investors, Ensures Integrity Of Debt And Equity Markets

    Date 13/07/2017

    The Investment Industry Regulatory Organization of Canada (IIROC) today announced it has reached an agreement with Nasdaq's SMARTS that will enable the regulator to significantly enhance its market surveillance capabilities resulting in increased investor protection.

  • Canadian Securities Regulators Caution Industry About False And Misleading Registration Applications And Outline Changes To Trading Supervision Reports

    Date 13/07/2017

    The Canadian Securities Administrators (CSA) today published CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration to caution firms and individuals about the potential consequences of submitting false or misleading applications for registration.

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