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Rule 14a-8: Conflicting Proposals, Conflicting Views, Keith F. Higgins, Director, SEC Division Of Corporation Finance Practising Law Institute Program On Corporate Governance, New York, NY, Feb. 10, 2015

Date 10/02/2015

Introduction

Thank you, Meredith [Cross], for that introduction and for the invitation to speak today. I can’t think of a better time or audience with whom to share my thoughts on a corporate governance topic that has recently received significant public attention: shareholder proposals. First, though, it is appropriately fitting that I give the standard disclaimer that the views that I express today are my own and do not necessarily reflect the views of the Commission or any other colleague on the staff of the Commission.

NYSE Group Issues Short Interest Report

Date 10/02/2015

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of January 30, 2015.

Nasdaq Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date January 30, 2015

Date 10/02/2015

At the end of the settlement date of January 30, 2015, short interest in 2,264 NASDAQ Global Market^SM securities totaled 7,471,141,201 shares compared with 7,575,444,687 shares in 2,266 Global Market issues reported for the prior settlement date of January 15, 2015. The end-of-January short interest represents 4.20 days average daily NASDAQ Global Market share volume for the reporting period, compared with 5.38 days for the prior reporting period.

NYSE MKT Issues Short Interest Report

Date 10/02/2015

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of January 30, 2015.

CFTC’s Division Of Market Oversight Issues Time-Limited No-Action Relief From Electronic Reporting Requirements In The OCR Final Rule

Date 10/02/2015

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Market Oversight (DMO) today issued a no-action letter (CFTC Letter No. 15-03) that provides additional time for reporting parties to comply with certain reporting requirements of the ownership and control final rule (OCR Final Rule).

UK Parliament: Treasury Committee Questions John Griffith-Jones, Chairman, And Martin Wheatley, Chief Executive, Financial Conduct Authority

Date 10/02/2015

The Treasury Committee holds oral evidence hearings with the Financial Conduct Authority approximately every six months as part of the Committee's remit to scrutinise their work. The Committee is therefore taking evidence from John Griffith-Jones, Chairman, and Martin Wheatley, Chief Executive, Financial Conduct Authority.

BOX To Launch Realized Volatility Options On VolX Patented Concept

Date 10/02/2015

BOX Options Exchange (BOX) and The VolX Group (VolX), architects of RealVol™ Products, announced that they have entered into an exclusive licensing agreement whereby BOX will list RealVol SPY Options (VOLS) for trading. BOX filed on January 21, 2015 for approval to list VOLS with the U.S. Securities and Exchange Commission and will begin listing the options once approval is received. VOLS will be the first exchange-traded options based on the realized volatility of the broad U.S. equity market.

SGX On Track For Minimum Trading Price Introduction

Date 10/02/2015

Singapore Exchange’s (SGX) introduction of a minimum trading price (MTP) for Mainboard companies is aimed at improving the quality of the Singapore stock market; higher-priced shares have better liquidity, lowering transaction cost for investors. Such shares are also less susceptible to speculation and market manipulation.

FSB Chair's Letter To G20 On Financial Reforms – Finishing The Post-Crisis Agenda And Moving Forward

Date 10/02/2015

Addressing new risks and vulnerabilities: Closing data gaps and sharing analysis and policy choices will be vital to allow national authorities to understand and react to risks effectively and promptly. In addition, the FSB will focus on co-ordinating efforts to address two specific emerging vulnerabilities: market-based finance and misconduct.   

CFTC Chairman Massad To Testify Before The U.S. House Agriculture Committee

Date 10/02/2015

Chairman Massad will provide 2015 agency outlook before the U.S. House Committee on Agriculture.