News Centre

Financial Stability Oversight Council Meeting January 11

Date 11/01/2017

Secretary of the Treasury Jacob J. Lew today convened a meeting of the Financial Stability Oversight Council (Council) in an executive session at the Treasury Department.

Nasdaq December 2016 Volumes, 4Q16 Est. Revenue Capture

Date 11/01/2017

Nasdaq (Nasdaq:NDAQ) today reported monthly volumes for December 2016, as well as quarterly volumes and estimated revenue capture for the quarter ending December 30, 2016, on its investor relations website. 

CBOE Vest Launches CBOE Vest S&P 500 Enhanced Growth Strategy Fund (ENGIX)

Date 11/01/2017

• Fund is designed to track the CBOE S&P 500 Enhanced Growth Index Balanced Series (SPEN).
• The Enhanced Growth strategy seeks to provide two-to-one enhanced returns on the appreciation of the S&P 500 Index up to a capped level, while providing one-to-one exposure to losses.

Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date December 30, 2016

Date 11/01/2017

At the end of the settlement date of December 30, 2016, short interest in 2,352  Nasdaq Global Market^SM securities totaled 7,148,012,301 shares compared with 7,263,328,158  shares in 2,356 Global Market issues reported for the prior settlement date of December 15, 2016. The end-of-December short interest represents 4.19 days average daily Nasdaq Global Market share volume for the reporting period, compared with 4.67 days for the prior reporting period.

NYSE, NYSE Arca And NYSE MKT Short Interest Reports

Date 11/01/2017

NYSE today reported short interest as of the close of business on the settlement date of December 30, 2016.

FIA Supports House Bill Reauthorizing CFTC

Date 11/01/2017

FIA president and CEO Walt Lukken sent a letter to Congressional leaders today in support of H.R. 238, the Commodity End User Relief Act.

CFTC Swaps Report Update

Date 11/01/2017

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

CalPERS Names Scott Terando Chief Actuary

Date 11/01/2017

The California Public Employees' Retirement System (CalPERS) has named Scott Terando as the Pension Fund's new chief actuary.

SEC Charges Government Contractor With Inadequate Controls And Books And Records Violations

Date 11/01/2017

The Securities and Exchange Commission today announced that L3 Technologies Inc. (formerly known as L-3 Communications Holdings Inc.), a contractor for U.S. and various foreign government agencies, has agreed to pay a $1.6 million penalty to settle charges that it failed to maintain accurate books and records and had inadequate internal accounting controls. 

CFTC Orders J.P. Morgan Securities LLC To Pay $900,000 For Supervision Failures - Firm’s Supervisory Failures Over Exchange And Clearing Fee Processing Led To Customer Overcharges At Times

Date 11/01/2017

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against J.P. Morgan Securities LLC (JPMS), a Delaware corporation headquartered in New York City, for failing to diligently supervise its officers’, employees’, and agents’ processing of exchange and clearing fees it charged customers for trading and clearing Chicago Mercantile Exchange, Inc. (CME) products and products from certain other exchanges during 2010 to 2014. JPMS is registered with the CFTC as a Futures Commission Merchant and a swap dealer.