CFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.read more...
View ArticleBahamas International Securities Exchange Q2, 2016 Statistical Report
BISX is pleased to announce its BISX All-Share Index and trading statistics for the six month period ending June 30, 2016 with comparison to the same period of 2015.read more...
View ArticleSEC Charges UBS With Supervisory Failures In Sale of Complex Products To...
The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales...
View ArticleCFTC Expands Interest Rate Swap Clearing Requirement
The U.S. Commodity Futures Trading Commission (Commission) today expanded the existing clearing requirement for interest rate swaps. The Commission voted unanimously to approve an amendment to...
View ArticleSEC Files Insider Trading Charges Against Peruvian Traders Using Overseas...
The Securities and Exchange Commission today charged two lawyers and a brokerage firm manager in Peru with insider trading prior to the merger of two mining companies. The SEC alleges that Nino...
View ArticleStatement Of CFTC Chairman Timothy Massad On Expanded Interest Rate Swap...
Central clearing is one of the great innovations of the financial system. Indeed, increasing the use of central clearing for over-the-counter swaps is one of the most important goals of the 2009 G20...
View ArticleSIFMA Commends SEC Action To Facilitate A Shorter Settlement Cycle
SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, after the Securities and Exchange Commission (SEC) voted to propose a rule amendment that will help...
View ArticleSEC Proposes Rule Amendment To Expedite Process For Settling Securities...
The Securities and Exchange Commission today voted to propose a rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions from three business days after...
View ArticleCalPERS: Cheryl Eason Appointed To Government Finance Officers Association...
Cheryl Eason, California Public Employees' Retirement System (CalPERS) chief financial officer (CFO), has been appointed to the Government Finance Officers Association (GFOA) Committee on Retirement...
View ArticleJane Norberg Named Chief Of SEC Whistleblower Office
The Securities and Exchange Commission today announced that Jane Norberg has been promoted to chief of the SEC’s Office of the Whistleblower. Ms. Norberg joined the SEC in 2012 as the first deputy...
View ArticleCanadian Regulators Release New Results On Women On Boards And In Executive...
The securities regulatory authorities in Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Québec, Saskatchewan and Yukon (the participating...
View ArticleWelcome to the new SSRN
Hi there, watch this space to learn more about the new SSRN!read more...
View ArticleCFTC Charges Introducing Broker eFloorTrade, LLC and its Principal John Moore...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of New York against eFloorTrade, LLC and its majority owner...
View ArticleCFTC Charges Introducing Broker eFloorTrade, LLC And Its Principal John Moore...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of New York against eFloorTrade, LLC (eFloorTrade) and its...
View ArticleSEC Announces Agenda For October 5 Meeting Of The Advisory Committee On Small...
Use the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov.read more...
View ArticleAMF Officials To Head Major IOSCO Committee
The Autorité des marchés financiers (the “AMF”) is pleased to announce that Jean-François Fortin, Executive Director, Enforcement, and Jean Lorrain, Senior Director, International Relations and...
View ArticleCFTC Orders Jon P. Ruggles To Disgorge More Than $3.5 Million In Trading...
The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order filing and settling charges against Jon P. Ruggles of Orlando, Florida, for engaging in fraudulent, fictitious, and...
View ArticleClik here to view.
Federal Reserve Chair Janet L. Yellen At The "Banking And The Economy: A...
Watch live read more...
View ArticleCFTC Charges Options Trader Thomas C. Lindstrom With Fraud - CFTC Alleges...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint, charging Thomas C. Lindstrom, of Winnetka, Illinois, with fraud in connection with his trading of options on...
View Article