News Centre

Federal Reserve Board Announces Schedule For Results from Dodd-Frank Act Stress Tests And Comprehensive Capital Analysis And Review (CCAR)

Date 02/06/2016

The Federal Reserve Board on Thursday announced that results from the latest supervisory stress tests conducted as part of the Dodd-Frank Act will be released on Thursday, June 23, and the related results from the Comprehensive Capital Analysis and Review (CCAR), will be released on Wednesday, June 29. Results for both exercises will be released at 4:30 p.m. EDT.

SEC: Forex Trader Misrepresented Track Record And Hid Massive Losses

Date 02/06/2016

The Securities and Exchange Commission today charged a New York City-based trader with defrauding investors out of millions of dollars by misrepresenting her investment track record, the profitability of her investments, and her use of investor funds.

CFTC To Reopen Comment Period For Specific Elements Of Regulation Automated Trading

Date 02/06/2016

The U.S. Commodity Futures Trading Commission (CFTC) will reopen the comment period for specific elements of Regulation Automated Trading (Regulation AT). This is being done in conjunction with a CFTC staff roundtable on Regulation AT on June 10, 2016. The additional comment period is intended to obtain public input solely on the specific topics listed in the agenda for the roundtable and that arise during the roundtable (See CFTC Press Release 7377-16 for agenda).

SEC: Adviser Steered Investor Money To His Own Companies

Date 02/06/2016

The Securities and Exchange Commission today charged a North Carolina-based investment adviser with defrauding investors by secretly steering portions of real estate-related investments into deals with companies that he owned or operated himself.

Nasdaq, Inc. Prices $500,000,000 Senior Notes Offering

Date 02/06/2016

Nasdaq, Inc. (the “Company”) (Nasdaq:NDAQ) today announced that it priced a public offering of $500,000,000 aggregate principal amount of U.S. dollar-denominated 3.850% senior notes due 2026 (the “Offering”).  The Company expects to use the net proceeds from the Offering, together with cash on hand and/or borrowings under the Company’s senior credit facility, to fund the cash consideration payable by the Company for its acquisition of 100% of the equity interests in U.S. Exchange Holdings, Inc. (the indirect owner of three electronic options exchanges: International Securities Exchange, ISE Gemini and ISE Mercury) (the “ISE Transaction”) and related expenses and for general corporate purposes, which may include, without limitation, the repayment of indebtedness or the funding of other future acquisitions.

SEC Halts EB-5 Scheme Stealing Investments In Cancer Center

Date 02/06/2016

CFTC Orders Bitcoin Exchange Bitfinex To Pay $75,000 For Offering Illegal Off-Exchange Financed Retail Commodity Transactions And Failing To Register As A Futures Commission Merchant

Date 02/06/2016

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Hong Kong-based bitcoin exchange, BFXNA Inc. d/b/a Bitfinex (Bitfinex), for offering illegal off-exchange financed retail commodity transactions in bitcoin and other cryptocurrencies, and for failing to register as a Futures Commission Merchant (FCM) as required by the Commodity Exchange Act (CEA). The Order requires Bitfinex to pay a $75,000 civil monetary penalty and to cease and desist from future such violations of the CEA.

SEC Names Christopher Hetner As Senior Advisor To The Chair For Cybersecurity Policy

Date 02/06/2016

The Securities and Exchange Commission today announced that Christopher R. Hetner has been named Senior Advisor to the Chair for Cybersecurity Policy.  In this role, Mr. Hetner will serve as a senior advisor to Chair Mary Jo White on all cybersecurity policy matters. 

Xignite Clients Nominated For 20 Benzinga Fintech Awards - Xignite Fintech Clients Execute Clean Sweep Of Innovation In Mobile Category And Win 11 Awards

Date 02/06/2016

Xignite, Inc., the leading provider of cloud-based financial data APIs, is proud to announce that 20 of its clients were recognized as among the most innovative financial technology companies at the 2016 Benzinga Fintech Awardsheld last week. Xignite clients won 11 awards, placed in 6 categories, including Founder of the Year and Overall Fintech Leader, and swept the Innovation in Mobile category winning first place, runner up and honorable mention.

Remarks Before The SEC Historical Society – “The Continuous Process Of Optimizing The Equity Markets”

Date 02/06/2016

Thank you, David [Lynn], for that kind introduction and for inviting me to your annual meeting.  It is truly my privilege and honor to serve as Chair of the Commission, and it is wonderful to share the room and microphone today with my friend and former Chairman Richard Breeden along with others who, from firsthand experience, deeply appreciate the value of the SEC as a critical institution with a long heritage of protecting investors and our markets.  At the Commission, our history informs who we are and the work we do, and it is our great, good fortune that we have the SEC Historical Society to preserve that rich history.