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  • The Canadian Securities Administrators Launch A Regulatory Sandbox Initiative

    Date 23/02/2017

    The Canadian Securities Administrators (CSA or we) today launched a regulatory sandbox, an initiative that supports businesses seeking to offer innovative products, services and applications.

  • Commission Statement Regarding Decision In Bartko v. SEC

    Date 23/02/2017

    In its January 17, 2017 decision in Bartko v. SEC (No. 14-1070), the United States Court of Appeals for the D.C. Circuit granted in part a petition for review of a Commission order imposing sanctions for violations of the securities laws.  The court vacated the portion of the order imposing collateral bars against Bartko, who was associated only with a broker-dealer at the time of his securities law violations, from association with investment advisers, municipal securities dealers, transfer agents, municipal advisors, and nationally recognized statistical ratings organizations.  The court held that the order’s imposition of those collateral bars was an impermissibly retroactive application of the Dodd-Frank Act, which first authorized the Commission to impose such collateral bars.  Because all of Bartko’s violative conduct pre-dated the Dodd-Frank Act’s July 22, 2010, effective date, the court held that applying those provisions to such conduct would be impermissibly retroactive.  The Commission has determined not to seek further review of that decision.

  • SEC Announces Agenda For March 9 Investor Advisory Committee Meeting - Committee Welcomes New Member Jerome Solomon

    Date 23/02/2017

    The Securities and Exchange Commission today announced the agenda for the March 9 meeting of its Investor Advisory Committee.  The meeting will commence at 9:30 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and is open to the public.  The meeting will be webcast live and archived on the committee’s website for later viewing.

  • BSX Launches Investor Education Programme

    Date 23/02/2017

    The Bermuda Stock Exchange (BSX) today announced the launch of its new Investor Education Programme ‘Own your share of Bermuda’.  

  • FXPA Elects New Officers, Board Members - New Executive Committee, Board Members

    Date 23/02/2017

    The Foreign Exchange Professionals Association (FXPA) is pleased to announce the results of its elections, which took place last week, and resulted in a slate of new Board members, as well as four officers to serve on the FXPA’s Executive Committee (ExCom).

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