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  • FIA President And CEO Walt Lukken Statement On NFA President Dan Roth's Retirement

    Date 24/05/2016

    Upon the announcement that National Futures Association (NFA) president and CEO Dan Roth is retiring, FIA President and CEO Walt Lukken released the following statement thanking him for his service to the industry:

    “During his three decades at NFA, Dan has been a pillar of our industry, committed to efficient markets that operate with transparency and integrity.  In his tenure as CEO, our industry has undergone extraordinary changes, and Dan’s vision and leadership helped make that transition as smooth as possible. I’ve had the privilege of working with him in a variety of roles and I value his expertise and counsel. While I congratulate him on his retirement, I’m sad to see him go.  Oh behalf of FIA and our membership, I thank him for his service and I wish him all the best.” 

  • Deutsche Asset Management To Switch Three ETFs To The Bats ETF Marketplace From NYSE Arca - Becomes Third Issuer To Switch Listings To Bats

    Date 23/05/2016

    Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for the trading of exchange-traded funds (ETFs), today announced that Deutsche Asset Management is switching the primary listing of three funds to the Bats ETF Marketplace from NYSE Arca on or about June 9, 2016.

  • National Futures Association CEO Daniel Roth To Retire - Board Begins Search For Successor

    Date 23/05/2016

    NFA announced today that President and CEO Daniel Roth has announced his plan to retire in the coming year. NFA's Board of Directors has authorized the formation of a committee to conduct a search for his successor. The search will consider both internal and external candidates.


  • Remarks From The 2016 FINRA Annual Conference, Richard G. Ketchum, FINRA Chairman And Chief Executive Officer, Washington, DC, May 23, 2016

    Date 23/05/2016

    Commerce and Compliance: It’s Not a Culture War

    Good morning and welcome to FINRA’s Annual Conference, this year is notable in several ways, including the quality of the program and roster of speakers and attendees. Each year when we come together for this conference, we discuss and debate top regulatory concerns, as well as a range of issues affecting our industry, with the overarching goal of continuously supporting and refining compliance in financial services. One of the most significant developments this year in our collective mission is the evolving fiduciary landscape and what it means for how firms deliver retirement-savings advice. Wherever you stand on the wisdom of DOL’s rule, the fiduciary evolution in many ways gets to the heart of how firms interact with clients—the delivery of products and services that defines the essential qualities of a firm—its motivations and priorities. In a word: culture.

  • SIFMA Develops Model Documents For Compliance With New MSRB Rule G-42

    Date 23/05/2016

    SIFMA has developed a suite of model documents designed to aid municipal advisors in compliance with new MSRB Rule G-42, on duties of non-solicitor municipal advisors.  The Rule will be implemented on June 23.  SIFMA is issuing the documents as exposure drafts, and is open to industry feedback through the end of this month, at which time they will be finalized.

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