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  • SEC Prevents Trader’s Profits From False Filing

    Date 24/05/2016

    The Securities and Exchange Commission has obtained a court order to freeze the profits of a trader who allegedly manipulated a technology stock through a false regulatory filing traced to a computer in Pakistan. 

  • SIFMA AMG Supports Congressional Action To Address The Puerto Rico Municipal Market

    Date 24/05/2016

    The Asset Management Group of SIFMA (SIFMA AMG), whose members are U.S. asset management firms who serve millions of individual and institutional investors, today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, in support of H.R. 5278, the Puerto Rico Oversight, Management, and Economic Stability Act (PROMESA) introduced by the House Committee on Natural Resources and sponsored by Rep. Sean Duffy (R-WI): 

    “SIFMA’s Asset Management Group supports H.R. 5278, the Puerto Rico Oversight, Management, and Economic Stability Act (PROMESA), and appreciates Congress’ efforts to create a limited and targeted framework to address Puerto Rico’s fiscal crisis. We commend the House Committee on Natural Resources for their leadership on this important issue."

  • Remarks At The Meeting Of The SEC Advisory Committee On Small And Emerging Companies, SEC Commissioner Michael S. Piwowar, May 18, 2016

    Date 24/05/2016

    Thank you, Sara [Hanks] and Stephen [Graham]. First, I want to welcome everyone — our new committee members, as well as our returning members. I was unable to attend your first meeting in February, but you have hit the ground running. Today’s agenda is quite ambitious and I look forward to hearing the discussions and seeing any resulting recommendations. The committee will be discussing, among things, the accredited investor definition and Regulation D. In fact, the Commission adopted the notion of a so-called “accredited investor” in 1982 when it adopted Regulation D.

  • Clearing Members Analyze The Resolution Of Central Counterparties In New White Paper - TCH And ISDA Provide Perspectives To Support FSB’s CCP Resolution Planning Efforts

    Date 24/05/2016

    As central counterparties (CCPs) continue to play an increasingly important role in the global financial system, The Clearing House and the International Swaps and Derivatives Association (ISDA) today issued a white paper identifying key issues that regulators should consider as they develop a comprehensive resolution framework for systemically important CCPs.

  • SIFMA Executive Vice President Randy Snook Remarks At SIFMA 2016 Fixed Income Market Structure Seminar

    Date 24/05/2016

    Good afternoon. I’m Randy Snook, Executive Vice President, Business Policy and Practices at SIFMA, and I’m pleased to welcome you to this year’s Fixed Income Market Structure Seminar. Before we begin, I’d like to thank all of today’s speakers, especially Daleep Singh, Acting Assistant Secretary for Financial Markets at the U.S. Treasury, who will deliver the keynote address. I’d also like to thank the sponsors: MarketAxess, who is a platinum sponsor, EBS BrokerTec (Gold), Tradeweb (Silver), Trumid (Silver), Liquidnet (Contributor) and MTS Markets (Contributor). We appreciate your support of this event.