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  • US Attorney General Holder Remarks On Financial Fraud Prosecutions At NYU School Of Law

    Date 17/09/2014

    Thank you, Professor [Jennifer] Arlen, for those kind words – and thank you all for being here.  It’s a privilege to be at New York University this afternoon.  And it’s an honor to stand with so many judges, U.S. Attorneys, and prominent leaders in the field of corporate compliance and enforcement – as well as the law students, faculty members, administrators, staff and alumni who make this institution such a remarkable place.

  • CFTC Approves Final Rule And Proposed Rule At Its Open Meeting Today

    Date 17/09/2014

    Today the U.S. Commodity Futures Trading Commission (CFTC) approved a Final Rule and a Proposed Rule at an Open Meeting, as follows:

    With a unanimous vote, the CFTC approved the Final Rule on Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities.

  • Remarks by US Principal Deputy Assistant Attorney General For The Criminal Division Marshall L. Miller At The Global Investigation Review Program

    Date 17/09/2014

    Thank you, for that kind introduction.  As a born and bred New Yorker, it is a pleasure to be back in my hometown. 

    I want to focus my comments today on how we in the Criminal Division of the Department of Justice are addressing criminal conduct when it takes place at corporations and other institutions.  I’ll begin with a short discussion about our evolving approach to such investigations.  Then, I’ll turn to our thought process in deciding how to resolve charges against corporations with criminal exposure – or whether to bring criminal charges at all. 

  • Hugo Williamson, Co-Founder Of The Risk Resolution Group, Joins IPSA International

    Date 17/09/2014

    IPSA International, Inc. (IPSA), an international risk advisory firm, is pleased to announce that Hugo Williamson has joined as Managing Director in the company's London office. Mr. Williamson will be responsible for IPSA's growth and client relations throughout the United Kingdom, Europe and Africa, and will play a key advisory role on new emerging market opportunities and initiatives. 

  • CFTC Swaps Report Update

    Date 17/09/2014

    CFTC's Weekly Swaps Report has been updated, and is now available.

  • ISDA Announces Updated Implementation Date For 2014 ISDA Credit Derivatives Definitions

    Date 17/09/2014

    The International Swaps and Derivatives Association, Inc. (ISDA) today announced that trading using the new 2014 ISDA Credit Derivatives Definitions is expected to begin for most standard credit default swap (CDS) contracts on October 6, 2014.

  • Statement Of CFTC Commissioner Mark P. Wetjen Before The Open Meeting Of The Commodity Futures Trading Commission

    Date 17/09/2014

    Thank you, Chairman. Let me start by saying that it is a pleasure to be here today on the dais with you, Chairman Massad, and Commissioners Bowen and Giancarlo. This is our first open meeting together as commissioners, and it has been a real honor to work with each of you over these last few months. It also is a pleasure to meet you in this setting as a commission. Before turning to my remarks, I want to commend Chairman Massad for his focus on the unfinished work implementing Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), as well as his openness to appropriate fine-tuning of previous rulemakings, as reflected by the inclusion of the final rule relating to special-entities in today’s agenda.

  • August 2014 FIF Market Share Report - Executive Summary

    Date 17/09/2014

    U.S. Equities Market Share

    • Share volumes traded across Tape A, B, and C totaled 110 billion shares, a decrease of 12.4% monthly, and decrease of 8.5% annually.
    • NYSE-listed securities share volume was 58.2 billion shares, a decrease of 12.8% monthly and decrease of 10.4% annually.
    • Share volume in NASDAQ-listed securities was 33.5 billion shares, a 15.5% monthly decrease and 0.9% annual increase.

  • Opening Statement Of CFTC Chairman Timothy G. Massad, Open Meeting On Proposed Rule On Margin Requirements For Uncleared Swaps And Final Rule On Utility Special Entities

    Date 17/09/2014

    Good afternoon. This meeting will come to order.

    This is a public meeting of the Commodity Futures Trading Commission (CFTC). It is the first open meeting of the Commission since two of my fellow Commissioners, Commissioner Bowen and Commissioner Giancarlo, and I took office. I am very pleased to have the benefit of their experience and insight as we move ahead. I also want to acknowledge and thank Commissioner Wetjen, our veteran, who has put in a tremendous effort, particularly over the first several months of this year when he served as Acting Chairman and who has been very helpful to all of us as we got up to speed on various issues. Thank you, Mark. And, I would like to welcome members of the public, market participants, and members of the media, as well as those listening to the meeting on the phone or watching the webcast.

  • August 2014 FIF Market Dynamics Report – Executive Summary

    Date 17/09/2014

    OTC Market Share of NMS Securities

    • In August 2014, off-exchange trading accounted for 37% of the shares traded in NMS Equity Securities, a decrease of 0.2% compared to last month.