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Month-Over-Month Industry Volume And TABB-Reported ATS/SDP Volume Decreased By 2%, Says TABB Group In Just-Released Equities LiquidityMatrix Now Online

Date 15/04/2015

Month-over-month industry volume and TABB-reported ATS/SDP volume decreased by 2%, reports Valerie Bogard, the TABB Group research analyst who manages the TABB Equities LiquidityMatrix™, now accessible via TabbFORUM at http://www.tabbforum.com/liquidity-matrix/equities as well as TABBGroup.com.   

SIFMA Statement On DOL Retirement Rule Proposal Announcement

Date 14/04/2015

SIFMA issued the following statement from president and CEO Kenneth E. Bentsen, Jr., on the retirement rule proposal announced today by the Department of Labor (DOL):

"This is a voluminous rule where the fine print matters. We want to ensure it protects investor choice and doesn't unnecessarily reduce access to education or raise costs, particularly for low and middle income savers. With so much at stake, we will thoroughly review the rule and its impact on investors, and express our views in the public comment period."

Testimony Of CFTC Commissioner J. Christopher Giancarlo Before The U.S. House Committee On Agriculture, Subcommittee On Commodity Exchanges, Energy, And Credit

Date 14/04/2015

Good morning, Chairman Scott, Ranking Member Scott and members of the Subcommittee. Thank you for the opportunity to testify on the reauthorization of the Commodity Futures Trading Commission (CFTC). I am honored to testify alongside my fellow Commissioners Mark Wetjen and Sharon Bowen and provide my perspective on the CFTC’s reauthorization.

US Assistant Attorney General Leslie R. Caldwell Delivers Remarks At The New York University Center On The Administration Of Criminal Law’s Seventh Annual Conference On Regulatory Offenses And Criminal Law, New York City, NY, United States ~ Tuesday, April 14, 2015

Date 14/04/2015

Thank you, Deborah [Gramiccioni], for that kind introduction.  I also would like to thank New York University, the Center on the Administration of Criminal Law and Professor Barkow for hosting this and other events in which judges, practitioners, academics  and students can engage in very meaningful discussions about important criminal law issues.

Ontario Securities Commission Announces Roundtable On Proposed Whistleblower Program

Date 14/04/2015

The Ontario Securities Commission (OSC) announced today that it will hold a roundtable to further explore the issues raised in OSC Staff Consultation Paper 15-401, which proposed a new whistleblower program to encourage the reporting of serious misconduct of Ontario securities law to the OSC. The program would be the first of its kind for securities regulators in Canada. 

Testimony Of CFTC Commissioner Mark Wetjen Before The U.S. House Committee On Agriculture Subcommittee On Commodity Exchanges, Energy, And Credit Subcommittee

Date 14/04/2015

Good morning Chairman Scott, Ranking Member Scott, and members of the subcommittee. I would like to thank you for inviting me to appear before the subcommittee this morning and allowing me to share some of my thoughts on the reauthorization of the U.S. Commodity Futures Trading Commission (CFTC). It is a pleasure to be here today.

The Dominance Of Data And The Need For New Tools: Remarks At The SIFMA Operations Conference, SEC Commissioner Kara M. Stein, April 14, 2015

Date 14/04/2015

Good morning and thank you, Lisa Dolly, for that kind introduction.  It is a privilege to be with you today. 

Whether it’s processing trades fairly, ensuring systems are protected from cyber threats, or making operational risk management a firm priority, you, the operations professionals, have a vitally important role and enormous responsibility. 

CBOE MSCI Index Options To Debut April 21

Date 14/04/2015

• MSCI EEM, EAFE Indexes First of Six Planned to Launch in 2015
• In U.S., MSCI Index Options Listed Solely on CBOE
• IMC Financial Markets to be Designated Primary Market-Maker

The Importance Of Smart Regulation, Rick A. Fleming, Investor Advocate, U.S. Securities And Exchange Commission, NASAA Public Policy Conference, Mayflower Renaissance Hotel, Keynote Luncheon, Washington, D.C. , April 14, 2015

Date 14/04/2015

Thank you, [Bill Beatty], for the nice introduction, and for the opportunity to come back and visit many old friends.

Thanks, also, to all of you who participated in the 19(d) meetings this morning. This is an important opportunity for state and federal collaboration, and I would remind my new friends at the SEC that Section 19(d) of the Securities Act provides for much more than a once-a-year gathering. It envisions an atmosphere in which the states are considered partners in certain types of rulemakings, not mere commenters.

ICE Endex Expands Dutch TTF Spot Market - NetConnect Germany To Take Up Trading For Balancing Purposes

Date 14/04/2015

Intercontinental Exchange (NYSE: ICE), the leading global network of exchanges and clearing houses, today announced that ICE Endex has added NetConnect Germany GmbH & Co. KG (NCG), the German market area operator, as a trading participant for the Dutch TTF gas spot market.