News Centre

CFTC Financial Data For Futures Commission Merchants Update

Date 05/04/2017

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.

TMX Group Consolidated Trading Statistics - March 2017

Date 05/04/2017

TMX Group Limited today announced March 2017 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), Montréal Exchange (MX) and NGX.

CFTC Swaps Report Update

Date 05/04/2017

CFTC's Weekly Swaps Report has been updated, and is now available.

Office Of Financial Research Update - Europe’s CoCos Provide A Lesson On Uncertainty

Date 05/04/2017

The OFR posted a research paper today, entitled, “Europe’s CoCos Provide a Lesson on Uncertainty.” European banks issue contingent convertible bonds. These bonds can force investors to absorb losses when a bank is under stress. In the working paper, the authors find that heightened uncertainty about discretion by banks about when to make payments to investors and by regulators about when to trigger a loss absorption mechanism worsened price declines in a stressed market.

Minutes Of The Federal Open Market Committee, March 14-15, 2017

Date 05/04/2017

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on March 14-15, 2017. A summary of economic projections made by Federal Reserve Board members and Reserve Bank presidents for the meeting is also included as an addendum to these minutes.

SIFMA Statement On DOL's 60-Day Delay Of The Fiduciary Rule

Date 05/04/2017

SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the Department of Labor's final rule to delay the fiduciary rule for 60 days:

"We welcome the Department of Labor's 60-day delay of the fiduciary rule to avoid customer confusion and market disruption, and comply with the President's request that the Department undertake a wholesale review of the rule's consequential impacts on investors."

Speech Of Commissioner Sharon Y. Bowen At The Eurofi High Level Seminar 2017 - What Future For Global Regulation Of Financial Markets?

Date 05/04/2017

Introduction

Thank you for the kind introduction and good evening everyone. It is a pleasure to be here at the Eurofi High Level Seminar 2017. I attended the conference last year in Amsterdam, and found it so informative and engaging that I insisted on returning this year. Eurofi is a very important conference generally, but especially given recent unexpected events, it presents an opportune time for dialogue not only between European regulators and market participants, but also for those of us across the pond as well.

SEC Charges Muni Bond Underwriter With Gatekeeper Failures

Date 05/04/2017

The Securities and Exchange Commission today announced that an Arizona-based brokerage firm, its CEO, and its former underwriter’s counsel have agreed to settle charges related to municipal bond offerings they were underwriting that turned out to be fraudulent.

ESMA Identifies Areas For Improvements In Shareholder Identification And Communication Systems

Date 05/04/2017

The European Securities and Markets Authority (ESMA) has published the results of a recent study carried out on the investment chain and, in particular, the functioning of shareholder identification and transmission of information between issuers and shareholders. The report presents a general assessment of the level of harmonisation of national regulatory frameworks, across the EEA.

Autism Speaks To Ring The Nasdaq Stock Market Closing Bell

Date 05/04/2017

What:
Autism Speaks will visit the Nasdaq MarketSite in Times Square for World Autism Month.

In honor of the occasion, Stephen Shore, Board Member, will ring the Closing Bell. 

Where:
Nasdaq MarketSite – 4 Times Square – 43rd & Broadway – Broadcast Studio

When:
Thursday, April 6, 2017 – 3:45 p.m. to 4:00 p.m. ET