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  • Statement At Open Meeting On Rule 701 Amendment And Concept Release, SEC Commissioner Hester M. Peirce

    Date 18/07/2018

    Thank you to the staff for your work in putting together both this new rule and the accompanying concept release.  The change we are considering today is a discrete one, but could enhance the ability of companies to hire and retain workers.  I am pleased that we are going beyond the congressional mandate—which is a good one—to consider more broadly how we might make Rule 701 work better.

  • Getting It Right: Factors For Tailoring Supervision And Regulation Of Large Financial Institutions, Federal Reserve Vice Chairman For Supervision Randal K. Quarles At American Bankers Association Summer Leadership Meeting, Salt Lake City, Utah

    Date 18/07/2018

    I want to thank the American Bankers Association for inviting me to speak.1 This is an era of relatively rapid evolution in banking regulation, an area of human endeavor that is not commonly known for its speedy metamorphoses. But in the time since I became the Vice Chairman for Supervision at the Federal Reserve, we have seen agreement on the final pieces of the international framework for post-crisis regulation--the so-called Basel III endgame. The Federal Reserve has issued a number of proposed rule changes that would improve our capital and stress testing regime. And in late May, the Congress enacted the Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA), which, among other things, directs us to further tailor our supervision and regulation of large banks with more than $100 billion in assets. In other words, the Congress wants to see action and has, to a certain degree, specified some of the steps we need to take. How we respond to that task, especially as it applies to large banks, will be the focus of my remarks today.

  • SEC Charges Investment Adviser And CEO With Misleading Retail Investors

    Date 18/07/2018

    The Securities and Exchange Commission today charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly investors’ retirement savings and pension plans, in risky investments and secretly pocketing hefty commissions from those investments. 

  • Raize Lists On Euronext

    Date 18/07/2018

    Euronext today welcomed Raize Serviços de Gestão (Raize) on its listing in Euronext Access in Lisbon.

  • EEX: Daily Record In European Processing Potatoes

    Date 18/07/2018

    The European Energy Exchange (EEX) reached a new daily record in European Processing Potatoes on Monday, 16th July 2018. On that day, 1,239 contracts were traded which is equal to a volume of 30,975 tonnes of commodity equivalent. This is the highest daily volume on EEX since the launch of the agricultural contracts in May 2015.

  • SEC Adopts Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

    Date 18/07/2018

    The Securities and Exchange Commission today announced it has voted to adopt amendments to Regulation ATS to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities exchange.

  • US Department Of Justice: Two Connecticut Men Charged For Deceptive Trading Practices Executed On U.S. Commodities Markets

    Date 18/07/2018

    Two former employees of a global financial institution were charged in an indictment filed today for their alleged participation in fraudulent and deceptive trading in previous metals futures contracts, announced Assistant Attorney General Brian A. Benczkowski of the Justice Department’s Criminal Division and Assistant Director in Charge William Sweeney of the FBI’s New York Field Office.

  • SEC Adopts Final Rules And Solicits Public Comment On Ways To Modernize Offerings Pursuant To Compensatory Arrangements

    Date 18/07/2018

    The Securities and Exchange Commission today issued final rules to amend Securities Act Rule 701, which provides an exemption from registration for securities issued by non-reporting companies pursuant to compensatory arrangements.  As mandated by the Economic Growth, Regulatory Relief, and Consumer Protection Act, the amendment increases from $5 million to $10 million the threshold in excess of which the issuer is required to deliver additional disclosures to investors.  

  • BME Clearing To Provide NEX Market's Clients With A New Clearing Option

    Date 18/07/2018

    BME, through its BME Clearing subsidiary, and NEX Markets, which provides electronic trading technology services in the fixed income and FX markets, have signed an agreement whereby BME Clearing will start offering repo clearing services to participants currently connected to NEX Market’s BrokerTec platform.  

  • Statement At Fixed Income Market Structure Advisory Committee Meeting, SEC Commissioner Kara M. Stein

    Date 18/07/2018

    Good morning. I want to welcome everyone to today’s meeting and to thank both the members of the Committee and our panelists for taking time out of your schedules to be with us today.