News Centre

New FINRA Rules Take Effect To Protect Seniors And Vulnerable Adults From Financial Exploitation - First Uniform, National Standards To Protect Senior Investors

Date 05/02/2018

Two FINRA rule changes took effect today addressing the financial exploitation of seniors and vulnerable adults, putting in place the first uniform, national standards to protect senior investors. Firms are now required to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account. In addition, the rule permits FINRA member firms to place a temporary hold on a disbursement of funds or securities when there is a reasonable belief of financial exploitation, and to notify the trusted contact of the temporary hold.
Cboe FX Reports Record ADV Of $42.6 Billion In January

Date 05/02/2018
- January 2018 average daily volume (ADV) increases 44.2% year-on-year
- Sets new one-day record of $68.4 billion traded on 25th January, of which a record $15.3 billion was transacted on the Cboe FX London matching engine
- Cboe FX London matching engine sets new month record with ADV of $9.1 billion, up 261% year-on- year
ESMA Publishes Translations For Guidelines On MiFID II Product Governance Requirements

Date 05/02/2018

The European Securities and Markets Authority (ESMA) has issued today the official translations of its Guidelines on MiFID II product governance requirements.

Date 05/02/2018

WHAT:	Chairman J. Christopher Giancarlo will testify before the U.S. Senate Committee on Banking, Housing & Urban Affairs on the Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission.
WHEN:	Tuesday, February 6, 2018 10:00 a.m.
WHERE:	538 Dirksen Senate Office Building Washington, DC 20515 This hearing will be webcast live.

ESMA Updates Its Q&A On Short Selling

Date 05/02/2018

The European Securities and Markets Authority (ESMA) has updated today its Questions & Answers (Q&A) document regarding the implementation of the Short Selling Regulation (SSR).

Date 05/02/2018

WHAT:	Commissioner Rostin Behnam will give the keynote speech at the FIA/SIFMA Asset Management Group Derivatives Forum.
WHEN:	Wednesday, February 8, 2018 12:30 p.m. – 1:30 p.m. PST
WHERE:	The Ritz-Carlton, Laguna Niguel One Ritz-Carlton Drive Dana Point, CA 92629

ESMA Updates Q&A On EMIR Implementation

Date 05/02/2018

The European Securities and Markets Authority (ESMA) has issued today an update of its Q&A on practical questions regarding the European Markets Infrastructure Regulation (EMIR).
Non-Jordanian Investment At The Amman Stock Exchange During January 2018

Date 05/02/2018

The total value of shares that were bought by non-Jordanian investors at the Amman Stock Exchange (ASE) in January 2018 was JD16.6 million, representing 14.5% of the overall trading value, while the value of shares sold by them amounted to JD23.9 million. As a result, the net of non-Jordanian investments in January 2018 showed a decrease by JD7.3 million, compared with a decrease by JD11.5 million during the same month of 2017.
ESMA Updates Q&As On The Benchmarks Regulation

Date 05/02/2018

The European Securities and Markets Authority (ESMA) has published updated Questions and Answers (Q&As) regarding the implementation of the Benchmarks Regulation (BMR).
Office Of The Comptroller Of The Currency: Comptroller Congratulates Outgoing Federal Reserve Chair Yellen

Date 05/02/2018

Comptroller of the Currency Joseph M. Otting issued the following statement congratulating outgoing Chair of the Board of Governors of the Federal Reserve System Janet L. Yellen.