News Centre

SIFMA Finalizes Muni Issue Price Model Documents

Date 02/05/2017

SIFMA today released the final versions of its municipal security issue price model documents.  The documents were developed in an effort to aid industry market participants in compliance with the new Treasury Department issue price rules for municipal securities, which become effective on June 7, 2017.  SIFMA issued the documents for industry comment in March 2017 and is pleased to provide the final versions for broad industry use today.

SIFMA Statement On House Passage Of The Fair Access To Investment Research Act

Date 01/05/2017

SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on House passage of the Fair Access to Investment Research Act (H.R. 910) sponsored by Rep. French Hill (R-AK):

"We commend the House for its bipartisan passage of the Fair Access to Investment Research Act, which would reduce obstacles to research on exchange traded funds (ETFs) and registered investment companies. This bill clarifies an outdated securities regulation by including a statutory safe harbor for certain covered ETF research reports and directing the SEC to promulgate rules, as appropriate, for research on other funds under the Investment Company Act of 1940.  As the ETF market continues to grow, this bill's common sense clarifications will allow broker-dealers to produce more research on ETFs, providing consumers with greater access to information and fueling capital formation and job creation."

NZX Joins Future Directors Programme

Date 01/05/2017

NZX is pleased to announce its participation in the Future Directors Programme, an initiative designed to help identify and grow the next generation of New Zealand directors.

FIA And FIA PTG Oppose Overly Prescriptive Regulation Of Automated Trading

Date 01/05/2017

Today, in response to the Commodity Futures Trading Commission’s (CFTC) supplemental notice of proposed rulemaking regarding Regulation AT, FIA and the FIA Principal Traders Group (FIA PTG) submitted comments opposing overly prescriptive regulation of automated trading. 

SEC: Semiconductor Company And Former CFO Settle Accounting Fraud Charges

Date 01/05/2017

The Securities and Exchange Commission today announced that a South Korea-based semiconductor manufacturer and its former CFO have agreed to settle charges related to an accounting scheme to artificially boost revenue and manipulate the financial results reported to investors.

OneChicago Announces Trading Volume For April 2017 - Weekly Futures Propel Year-To-Date Volume To 4.6 Million, An Increase Of 18% Over Prior Year

Date 01/05/2017

OneChicago, LLC (OCX), a securities finance exchange, today announced its April 2017 volume of 1,504,746 an increase of 88% year-over-year. OneChicago is a CFTC and SEC regulated exchange offering Single Stock Futures (SSF), a delta one product, on approximately 1,800 equities, including ADRs and ETFs.

Bats Targets Transparency With Dedicated Data Feeds For U.S. Listed ETFs - Bats ETF Implied Liquidity Feed Will Provide Data On Individual Funds

Date 01/05/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded fund (ETF) trading globally, today announced the planned introduction of the Bats ETF Implied Liquidity Feed, which provides investors with a critical reference view of ETFs versus their underlying securities.

OCC Cleared Contract Volume Down Six Percent In April

Date 01/05/2017

• Securities lending activity up seven percent in April and 17 percent YTD
• Cleared futures volume up 42 percent in April and 52 percent YTD
• ETF options volume up four percent in April

Bats Welcomes New Issuer Franklin Templeton Investments To The Bats ETF Marketplace - 31 Issuers, 167 Funds Now Listed On Bats In The U.S.

Date 01/05/2017

Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded fund (ETF) trading globally, today welcomed Franklin Templeton Investments as a new issuer to the Bats ETF Marketplace with a suite of three U.S. equity focused funds.

MGEX April Volume Is 19th-Best In History

Date 01/05/2017

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), has concluded the month of April with a total volume of 211,184, making it the 19th-best volume in MGEX history.