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Remarks At The Financial Accounting Foundation Board Of Trustees Dinner, Richard G. Ketchum, Chairman And Chief Executive Officer, FINRA, Washington, DC, May 17, 2016

Date 18/05/2016

Good evening. Thank you, Terri [Polley], for that introduction.

It’s a pleasure to be here with you this evening to talk about our shared interests, one of which is ensuring investors have accurate and reliable financial information to better inform their decisions. I don’t need to tell you how inaccurate information—whether because of weak or inconsistent accounting standards, poor customer disclosure, or lack of market transparency—can negatively impact the U.S. and global economies. Strong financial reporting standards that encourage government agencies, and public and private organizations to provide better financial information and greater transparency, are essential to the efficient functioning of our capital markets. As a regulator, FINRA relies on accurate information from the firms we oversee, and the work the FAF, FASB and GASB do in setting accounting standards is an invaluable piece of the regulatory process.

European Commission - Speech By Commissioner Jonathan Hill At The Public Hearing On The 'Call For Evidence' - A Review Of The EU Regulatory Framework For Financial Services

Date 17/05/2016

Ladies and gentlemen,

It's a great pleasure to be able to welcome you back to the afternoon session of our conference. I'm sorry to be doing things slightly back to front, and that I could not be here this morning. But I’m really excited to see how much interest there is in the Call for Evidence and the work we're doing to review the regulatory framework for financial services.

European Council, Council Of The European Union: Manipulation Of Market Benchmarks: Council Adopts Tougher Rules

Date 17/05/2016

On 17 May 2016, the Council adopted new rules aimed at ensuring greater accuracy and integrity of benchmarks in financial instruments. 

SEC Awards More Than $5 Million To Whistleblower - Award Is SEC Program’s Third Highest To Date

Date 17/05/2016

The Securities and Exchange Commission today announced that it will award between $5 million and $6 million to a former company insider whose detailed tip led the agency to uncover securities violations that would have been nearly impossible for it to detect but for the whistleblower’s information.

Euronext: Successful Debut Of Portuguese Treasury Bonds Dedicated To Retail - “OTRV MAIO 2021” Demand Exceeds €1.2 Billion

Date 17/05/2016

Euronext today announced the first issue of Treasury Bonds, dedicated to retail investors, to be listed in its regulated market on May 19. Initially set at €350 million, the Portuguese Treasury and Debt Management Agency (IGCP), which has issued this “OTRV Maio 2021” bond on behalf of the Portuguese government, increased the total amount to €750 million based on the demand surge on the first day of the subscription period.

EBA Confirms The Use Of Unsolicited Credit Ratings For Determining Institutions Capital Requirements

Date 17/05/2016

The European Banking Authority (EBA) published today a Decision confirming the use of unsolicited credit assessments assigned by certain External Credit Assessment Institutions (ECAIs) for calculating institutions' capital requirements. The Decision is part of the Single Rulebook in banking and will ensure regulatory harmonisation across the European Union (EU) regarding the use of unsolicited credit ratings for determining institutions' own funds requirements.

Nasdaq, Inc. Prices €600,000,000 Senior Notes Offering

Date 17/05/2016

Nasdaq, Inc. (the “Company”) (Nasdaq:NDAQ) today announced that it priced a public offering of €600,000,000 aggregate principal amount of Euro-denominated 1.75% senior notes due 2023 (the “Offering”).  The Company expects to use the net proceeds from the Offering for general corporate purposes, which may include, without limitation, the repayment of indebtedness and the funding of the cash consideration payable in connection with the Company’s 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”) or other future acquisitions.

Luc Fortin To Join Montréal Exchange As Managing Director, Derivatives Trading

Date 17/05/2016

Montréal Exchange today announced the appointment of Luc Fortin as Managing Director, Derivatives Trading, effective June 27, 2016.

Nasdaq Welcomes Macquarie Group To The Nasdaq International Designation

Date 17/05/2016

Nasdaq, Inc. (Nasdaq:NDAQ) today announced that Macquarie Group, a leading provider of financial, advisory, investment and funds management services based in Sydney, Australia, is the latest company to join the Nasdaq International Designation. Through its membership, Macquarie will have access to Nasdaq’s investor relations services and unparalleled visibility assets to increase awareness with investors for their U.S.-traded Level 1 ADRs.

Mizuho Americas Hires Brian Zarahn As Managing Director for Energy, Power & Alternative Energy Research Team

Date 17/05/2016

Mizuho Americas today announced the appointment of Brian Zarahn, CFA, as Managing Director for Mizuho Securities’ Energy, Power and Alternative Energy sector in North America. Brian will cover Energy Infrastructure and Master Limited Partnerships (MLPs) out of Mizuho’s San Francisco office, and will report to Sheryl R. Skolnick, Ph.D., Director of Research for Mizuho Securities USA.