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Marshall Sprung, Co-Chief Of Asset Management Unit, To Leave SEC After 13...

The Securities and Exchange Commission today announced that Marshall S. Sprung, co-chief of the Division of Enforcement’s Asset Management Unit, is planning to leave the agency later this month.read...

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CFTCâs Market Risk Advisory Committee Announces Agenda For April 26...

The U.S. Commodity Futures Trading Commission (CFTC) today announced the agenda for the upcoming Market Risk Advisory Committee (MRAC) public meeting that will be held on April 26, 2016 at CFTC’s...

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BOX Options Exchange Price Improvement For March

In the month of March price improved contracts on BOX Options Exchange (“BOX”) averaged 340,567 per day. Price improvement versus the prevailing NBBO for contracts submitted via BOX’s price improvement...

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Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks...

At the end of the settlement date of March 31, 2016, short interest in 2,301 Nasdaq Global MarketSM securities totaled 8,166,679,657  shares compared with  8,250,861,296  shares in 2,298 Global Market...

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New York Attorney General Eric T. Schneiderman-Led State & Federal...

Attorney General Eric T. Schneiderman today joined members of the state and federal working group he co-chairs to announce a $5 billion settlement with Goldman Sachs over the bank’s deceptive practices...

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U.S. Justice Department: Goldman Sachs Agrees To Pay More Than $5 Billion In...

The Justice Department, along with federal and state partners, announced today a $5.06 billion settlement with Goldman Sachs related to Goldman’s conduct in the packaging, securitization, marketing,...

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Celeste Koeleveld Appointed General Counsel At New York State Department Of...

Celeste Koeleveld has been appointed General Counsel at the Department of Financial Services (DFS). Ms. Koeleveld will lead DFS’s Office of General Counsel and be responsible for all legal matters in...

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Weekly Announcements â April 11, 2016

University of Sussex Joins Innovation Research & Policy Network Research Centers Papers read more...

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Distribution-Constrained Optimal Stopping. (arXiv:1604.03042v1 [math.OC])

We solve the problem of optimal stopping of a Brownian motion subject to the constraint that the stopping time's distribution is a given measure consisting of finitely-many atoms. In particular, we...

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Reconstruction of Order Flows using Aggregated Data. (arXiv:1604.02759v1...

In this work we investigate tick-by-tick data provided by the TRTH database for several stocks on three different exchanges (Paris - Euronext, London and Frankfurt - Deutsche B\"orse) and on a 5-year...

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Nasdaq March 2016 Volumes, 1Q16 Est. Revenue Capture

Nasdaq (NASDAQ:NDAQ) today reported monthly volumes for March 2016, as well as quarterly volumes and estimated revenue capture for the quarter ending March 31, 2016, on its investor relations website....

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ISDAâs 31st AGM To Highlight Impact Of Market Structure Changes

Leading regulators and industry participants will gather at the International Swaps and Derivatives Association’s (ISDA) 31st Annual General Meeting (AGM) in Tokyo this week to discuss the impact of...

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New Zealand's Financial Markets Authority: Enforceable Undertaking From...

On 11 April 2016, Stephen Duff (also known as Nick Duff) offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011.read more...

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Volante Technologies And Turkish Banking And Payments Experts Payfessional...

Volante Technologies Inc., a global leader in the provision of software for the integration, processing and orchestration of financial messages and payments, today announced the signing of a...

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Testimony of Chairman Timothy G. Massad before the U.S. Senate Committee on...

Testimony of Chairman Timothy G. Massad before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government

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Expansion Of FTSE4Good With Launch Of ASEAN 5 Index

FTSE Russell, the global index provider, announces the launch of the FTSE4Good ASEAN 5 Index, an ESG index developed in collaboration with the Association of Southeast Asian Nations (ASEAN) Exchanges....

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Testimony Of CFTC Chairman Timothy G. Massad Before The U.S. Senate Committee...

Thank you Chairman Boozman, Ranking Member Coons, and members of the Subcommittee. I am pleased to testify in support of the President’s fiscal year (FY) 2017 budget request for the Commodity Futures...

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SIX One-Stop Service Eases Compliance For New PRIIP Investor Protection Rules

SIX Financial Information is developing a new service that makes it easier for financial firms to comply with investor protection rules, which take effect on 1 January 2017. The service allows...

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Keynote Address of CFTC Commissioner J. Christopher Giancarlo Before the Cato...

Keynote Address of CFTC Commissioner J. Christopher Giancarlo Before the Cato Institute, Cryptocurrency: The Policy Challenges of a Decentralized Revolution “If Allowed to Thrive, Blockchain May...

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Testimony On The Fiscal Year 2017 Budget Request Of The U.S. Securities And...

Chairman Boozman, Ranking Member Coons, and Members of the Subcommittee:read more...

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