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The Options Industry Council Announces Investor Education Day In Boca Raton March 22

Date 06/03/2014

The Options Industry Council (OIC) today announced that its first Investor Education Day (IED) for 2014 is taking place in Boca Raton, FL on March 22.
MIAX Options Exchange: MIAX Options - Auto Cancel On Disconnect (ACOD) Feature Effective March 10, 2014

Date 06/03/2014

MIAX will introduce the Auto Cancel on Disconnect (ACOD) functionality on March 10, 2014. With the introduction of this new feature, Firms will now have the ability to send an ACOD directive on an order by order basis or at a session level. Orders received with this directive will be canceled upon disconnect (due to graceful logout or a connection loss or loss of 2 heartbeats) on a best effort basis. GTC orders are not eligible for ACOD functionality. Please refer to the FOI interface specification for more details regarding this feature.
The Options Industry Council Announces Blair Hull As 2014 Sullivan Award Recipient

Date 06/03/2014

The Options Industry Council (OIC) today announced Blair Hull as recipient of the 2014 Joseph W. Sullivan Options Industry Achievement Award. This award is given annually to one individual in recognition of outstanding contributions to the U.S. options industry throughout his or her career. The 2014 Sullivan Award will be presented at the 32nd Annual Options Industry Conference to be held April 30 – May 2, in Austin, TX.
FINRA’s Statement On PIABA’s Public Disclosure Study

Date 06/03/2014

BrokerCheck is the only free online tool of its kind available to the public 24 hours a day, seven days a week. There are no forms to fill out and submit, and there is neither a time delay nor a cost to investors who receive a report. In fact, more than 75% of state securities regulators refer investors to BrokerCheck from their websites. FINRA has committed considerable resources and made significant enhancements to BrokerCheck, particularly over the last five years, to create a more user-friendly interface that allows investors to quickly access and intuitively understand the professional background of investment professionals. While the system may not be perfect, we do have to make determinations on what information about registered representatives is appropriate to release, while at the same time balancing fairness rather than ignoring it.
Borsa Italiana Monthly Update - February 2014

Date 06/03/2014

Click here to download Borsa Italiana's monthly update for February 2014.

Testimony Of Acting CFTC Chairman Mark P. Wetjen Before The U.S. House Appropriations Subcommittee On Agriculture, Rural Development, Food And Drug Administration, And Related Agencies

Date 06/03/2014

Good morning, Chairman Aderholt, Ranking Member Farr and members of the Subcommittee. Thank you for inviting me to today’s hearing on the FY 2015 President’s Budget request for the Commodity Futures Trading Commission (“Commission” or “CFTC”).
Remarks At AIMA Global Policy & Regulatory Forum - SEC Commissioner Michael S. Piwowar, New York, NY, March 6, 2014

Date 06/03/2014

Thank you, Kathy [Casey], for that kind introduction. Thank you, Kathy and Jiri [Krol], for inviting me to lead off the excellent program that AIMA has put together. I have enjoyed working with both of you over the past few years on numerous global policy and regulatory issues, which is the focus of today’s forum.
TMX Group Equity Financing Statistics - February 2014 - Toronto Stock Exchange, TSX Venture Exchange

Date 06/03/2014

TMX Group today announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for February 2014.
European Banking Authority Publishes Results Of The Basel III Monitoring Exercise As Of 30 June 2013

Date 06/03/2014

The European Banking Authority (EBA) publishes today its fifth report of the Basel III monitoring exercise on the European banking system. This exercise, run in parallel with the one conducted by the Basel Committee on Banking Supervision (BCBS) at a global level, allowed to gather aggregate results on capital, Risk Weighted Assets (RWAs), liquidity and leverage ratios for banks in the European Union (EU).
SEC Charges Five Executives And Finance Professionals Behind Fraudulent Bond Offering By International Law Firm

Date 06/03/2014

The Securities and Exchange Commission today charged five executives and finance professionals with facilitating a $150 million fraudulent bond offering by Dewey & LeBoeuf, the international law firm where they worked.