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SIFMA AMG Submits Supplemental Comments To The SEC Regarding The SEC Proposed Liquidity Management Rules

Date 14/04/2016

SIFMA’s Asset Management Group (SIFMA AMG) today announced it has submitted a supplemental comment letter to the Securities and Exchange Commission (SEC) regarding the SEC’s proposed liquidity management rules for open-end funds, including mutual funds and exchange-traded funds (ETFs). SIFMA AMG’s initial letter was filed in January 2016.
Volatility Plummets As Off-Exchange Trading Increases, According To March 2016 TABB Group Equities LiquidityMatrix™

Date 14/04/2016

According to the March 2016 TABB Equities LiquidityMatrix™ (ELM) – available on TabbFORUM.com – Month-over-month (MoM) industry volume decreased 13% to 7.7 billion shares, marking an end to the volume spike in the first two months of 2016. TABB Group equities research analyst Valerie Bogard, who manages the ELM,details that during the first quarter, there were 10 days of volumes over 10 billion shares compared to 13 days total in 2012-2015 (in the four years post financial crisis).
The Nasdaq Stock Market® Leads US Listing Exchanges With 42 Percent Of New ETP Listings And Switches In The First Quarter Of 2016 - Vanguard, PowerShares, First Trust, Principal, Victory Capital and Eaton Vance Among ETF Issuers To Select Nasdaq As Primary Venue For New Listings In March

Date 14/04/2016

Nasdaq (Nasdaq:NDAQ), the single largest U.S. equity exchange by market share, announced nine new listings during the month of March, reinforcing itself as one of the premier listing and trading venues for exchange-traded products (ETPs). At the end of the first quarter of 2016, Nasdaq captured 42 percent of new listings and switches- exceeding all other US exchanges.
Bats Welcomes State Street Global Advisors To The Bats ETF Marketplace - Global ETF Leader Lists Two ETFs On Bats For First Time

Date 14/04/2016

Bats Global Markets (Bats), the #1 U.S. market for the trading of exchange-traded funds (ETFs), today welcomed State Street Global Advisors (SSGA), the asset management business of State Street Corporation (NYSE: STT), as a new issuer with the listing of the SPDR DoubleLine Emerging Markets Fixed Income ETF (Bats: EMTL) and the SPDR DoubleLine Short Duration Total Return Tactical ETF (Bats: STOT).
EEX Options STP live On Trayport

Date 14/04/2016

Last Friday, EEX saw the first registration of an power options trade for clearing via Straight Through Processing (STP), using the “Trayport® Clearing Link – CompleteSM Clear”. This connection enables brokers to register OTC transactions quickly and efficiently via the Trayport® trading system for exchange clearing. With this service, free of charge to both brokers and trading participants, EEX provides a highly efficient channel to bring OTC volumes into clearing. Our clearing house ECC provides further details about STP here:https://www.ecc.de/ecc-en/stp-service

Federal Reserve Governor Lael Brainard, At The Institute Of International Finance Blockchain Roundtable, Washington, D.C., April 14, 2016, The Use Of Distributed Ledger Technologies In Payment, Clearing, And Settlement

Date 14/04/2016

Innovation in digital finance, loosely referred to as fintech, is capturing imaginations from Silicon Valley to Chicago to Wall Street. We're seeing a steady stream of announcements of new startups and partnerships, and consumers are downloading fintech apps at an even faster pace.
Remarks To The Investor Advisory Committee, SEC Chair Mary Jo White, April 14, 2016

Date 14/04/2016

Good morning and welcome. Thank you all for being here. I know that your agenda is full, so I will try to be brief in my remarks. But before I say anything else, I would like to take just a moment, as the Committee is nearing the end of its first full term of membership, to thank each and every one of you for your dedication and service. Both we at the Commission, and investors, have significantly benefited from your service. You have worked hard, collaboratively and compiled an impressive body of work on a wide range of important issues. Your vigorous commitment to investor interests, investor confidence, and the integrity of the securities marketplace is obvious and tangible and much appreciated. Thank you.
Statement Of CFTC Chairman Timothy Massad On The Senate Agriculture Committee’s Passage Of Legislation To Reauthorize The CFTC

Date 14/04/2016

I would like to thank the Senate Agriculture Committee members and staff for their work on reauthorization. While I have concerns with parts of this legislation, I hope those can be addressed as the process moves forward.
FIA Announces Departure Of COO Mary Ann Burns

Date 14/04/2016

FIA today announced that Mary Ann Burns, executive vice president and chief operating officer, will be leaving FIA at the beginning of July to head marketing and distribution for the craft brewery owned by her family.
SEC Case Freezes Assets Of Ski Resort Steeped In Fraudulent EB-5 Offerings

Date 14/04/2016

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Vermont-based ski resort and related businesses allegedly misusing millions of dollars raised through investments solicited under the EB-5 Immigrant Investor Program. The SEC’s case was unsealed today in federal court in Miami, and the court has appointed a receiver over the companies to prevent any further spending of investor assets.