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New Research Published By The SWIFT Institute Investigates The Practical Application Of Blockchain (Or Mutual Distributed Ledger) Technologies In Securities Markets

Date 11/05/2016

New research published by the SWIFT Institute investigates the practical application of blockchain (or mutual distributed ledger) technologies in securities markets.
Broadridge Adds Derivatives Clearing To Its Global Post Trade Management Solution

Date 11/05/2016

Broadridge Financial Solutions, Inc. (NYSE:BR) today announced that it has broadened its Global Post Trade Management (GPTM) solution, adding exchange-traded derivatives functionality through the acquisition of Dojima LLC.
SEC Announces Agenda For May 18 Meeting Of The Advisory Committee On Small And Emerging Companies

Date 11/05/2016

The Securities and Exchange Commission today announced that the May 18 meeting of its Advisory Committee on Small and Emerging Companies will focus on the definition of an “accredited investor” and on unregistered securities offerings under Regulation D.

Under the federal securities laws, certain securities offerings are exempt from SEC registration if the securities are sold to accredited investors. At the May 18 meeting, the committee will discuss the recent SEC staff report on the accredited investor definition, followed by a discussion of developments in unregistered securities offerings under Regulation D.
U.S. Corporate And Municipal Debt Issuance Projected To Grow, CUSIP Requests Show - Pre-Trade Corporate Debt Activity Reaches Highest Level Of 2016

Date 11/05/2016

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for April 2016. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity, suggests continued growth in issuance of new corporate and municipal debt offerings over the next several weeks.
State Bank Of India & Accuity Win Anti-Money Laundering Technology Implementation Of The Year At The Asian Banker Awards 2016 - Project Lauded For Leading Anti-Trade-Based Money Laundering Practices And Improving Operational Efficiencies For India’s Largest Commercial Bank

Date 11/05/2016

State Bank of India (SBI) and Accuity win the Anti-Money Laundering (AML) Technology Implementation of the Year 2016 at The Asian Banker Awards today.

ACER’s Annual Conference: A Look Into The Future As The Agency Turns Five

Date 11/05/2016

ACER is glad to invite you to its fifth Annual Conference “ACER: Past, Present and Future”, which will take place on 16 June. The Conference will take stock of ACER’s first five years and aim to define how the Agency can best contribute to the common goal of completing a well-functioning, competitive, sustainable and secure Internal Energy Market in the context of the Energy Union.
Taiwan Futures Exchange Wins The Asian Banker ‘Financial Derivatives Exchange Of The Year’ Award For The Second Consecutive Year - TAIFEX Continues To Earn Global Recognition For Record Trading Volumes And New Trading Products

Date 11/05/2016

The Taiwan Futures Exchange (TAIFEX) was today named the winner of the ‘Financial Derivatives Exchange of the Year’ award at the Asian Banker Financial Markets Awards 2016 held today in Hanoi, Vietnam. It is the second year in a row that TAIFEX has been bestowed this prestigious award.
TMX Group Announces Election Of Directors

Date 11/05/2016

TMX Group today announced that the nominees listed in the management proxy circular for the 2016 Annual and Special Meeting of Shareholders were elected as directors of TMX Group Limited.
FINRA Fines Stephens Inc. $900,000 For Inadequate Supervision Of Research Department "Flash" Emails

Date 11/05/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for inadequately supervising firm-wide internal "flash" emails sent by its research analysts to convey information about companies and industries the firm covered. These failures created the risk that the flash emails could potentially include material nonpublic information that might be misused by sales and trading personnel. Stephens will also cease distributing flash emails and was ordered to implement a plan to conduct a comprehensive review of its policies, procedures and training in the research area.
Assets Invested In ETFs/ETPs Listed In The United States Reached A New Record High Of 2.217 Trillion US Dollars At The End Of April 2016, According To ETFGI

Date 11/05/2016

Assets invested in ETFs/ETPs listed in the United States reached a new record high of US$2.217 trillion at the end of April 2016, according to preliminary data from ETFGI’s April 2016 global ETF and ETP industry insights report. (click here to view the ETFGI chart for asset growth).