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December 24, 2012
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Daily newsletter from NYSSA for investment professionals

  Top Story 
  • ICE-NYSE merger bolsters calls for CFTC-SEC tie-up
    The proposed $8.2 billion merger between NYSE Euronext and the IntercontinentalExchange has prompted renewed debate about merging the Securities and Exchange Commission and the Commodity Futures Trading Commission. "This merger just screams out for a consolidated regulator," said Jaret Seiberg, a Guggenheim Securities analyst. "History tells us that having regulation split up between multiple entities doesn't work." The Washington Post (12/21) LinkedInFacebookTwitterEmail this Story
  Industry Update 
  • CFTC delays derivatives rules for foreign banks
    The Commodity Futures Trading Commission has given foreign banks until mid-July to comply with derivative trading rules. "The relief period provides time for the Commission to work with foreign regulators as they implement comparable requirements," CFTC Chairman Gary Gensler said. CFTC.gov (12/21), Bloomberg (12/22), Reuters (12/21) LinkedInFacebookTwitterEmail this Story
  • Dodd-Frank meant big changes for financial advisers
    Registration requirements mandated by the Dodd-Frank Act mean that in 2012, the Securities and Exchange Commission was overseeing more of the assets managed by financial advisers than in the past. For the first time, those advising small private funds or venture funds were required to file Form ADV with the SEC. Financial-Planning.com (12/23) LinkedInFacebookTwitterEmail this Story
  New York Focus 
  Career Development 
  • Good leaders are great communicators
    Would-be leaders should prioritize developing their communication skills, writes Gretchen Rosswurm. That means mastering public speaking, corporate communications and interpersonal communication skills. "You may be hired for what you know, but you'll be promoted for your ability to influence people," Rosswurm writes. SmartBrief/SmartBlog on Leadership (12/18) LinkedInFacebookTwitterEmail this Story
  On The Economy 
  Financial Products 
  Editor's Note 
  • SmartBrief will not publish Tuesday
    In observance of Christmas, SmartBrief will not publish Tuesday. Publication will resume Wednesday. Enjoy the holiday! LinkedInFacebookTwitterEmail this Story
  SmartQuote 
In seed time learn, in harvest teach, in winter enjoy."
--William Blake,
British poet and painter


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