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New Zealand's Financial Markets Authority: Settlement Reached For Lombard (In Receivership) Claims

Date 24/02/2014

PwC, the Receivers of Lombard Finance & Investments Limited, have announced they have reached a settlement agreement with the Lombard Directors and a third party.

Tehran Stock Exchange Weekly Digest - 19 February 2014

Date 22/02/2014

TSE’s broad index gained 2.34% in the week ended 19 February.

BATS 1000 Index Gains 0.1% This Week

Date 21/02/2014

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) rose 15.10 points this week to close at 20,745.34 as of the 4 p.m. ET market close today.  

BATS Global Markets Receives “Best Exchange Technology” For 2nd Consecutive Year At Market’s Choice Awards

Date 21/02/2014

BATS Global Markets, Inc. (BATS), a leading global operator of securities markets, today announced the company was named “Best Exchange Technology” at the 2014 Market’s Choice Awards, as voted by industry participants and the editors of Markets Media magazine.  

An Open Letter To The SEC Staff, Commissioner Daniel M. Gallagher, U.S. Securities And Exchange Commission, Washington, D.C., Feb. 21, 2014

Date 21/02/2014

Thank you, Norm [Champ].

Over the years, I've heard many quips and remarks about the name "SEC Speaks," including suggestions that a better title for this conference would be “SEC Squeaks."  One thing I've never heard, however, is the simple question, "To whom?”  If the SEC is speaking, who is listening?  More importantly, who do we want to listen?  I won't try to answer these questions today - after all, one of the great joys of being a Commissioner is that I can raise all kinds of questions, and then simply look to the staff for answers.  On that note, I'd like to take the opportunity at this event, one of the premier venues for the Commission to communicante, to speak to the SEC staff.  Directly, Commissioner to staffers.  And so, I would like to read to an open letter, a sincere letter, which I have penned to the SEC staff.

Former Commissioner Of US Securities And Exchange Commission Joins HSBC Board

Date 21/02/2014

HSBC Holdings plc (Ticker: HSBC.BH), has announced that Kathleen Casey has been appointed a Director of HSBC Holdings plc with effect from 1 March, 2014. She will be an independent non-executive Director and will become a member of the Group Audit Committee and the Financial System Vulnerabilities Committee.

National Stock Exchange Successful Transition To An Inverted Pricing Model

Date 21/02/2014

National Stock Exchange, Inc. (“NSX” or the “Exchange”) is issuing this Information Circular to provide an update to Exchange Equity Trading Permit (“ETP”) Holders that, the Exchange has successfully adopted the CBOE Stock Exchange’s (“CBSX”) fee schedule — a fee schedule that pays the “taker” $0.0015 to remove liquidity equal to or above $1.

CFTC Commitments Of Traders Reports Update

Date 21/02/2014

The current reports for the week of February 18, 2014 are now available.

SEC Charges Wall Street Investment Banker With Insider Trading In Former Girlfriend’s Account To Pay Child Support

Date 21/02/2014

The Securities and Exchange Commission today announced an emergency action against a New York City-based investment banker charged with insider trading for nearly $1 million in illicit profits.

Addressing Known Risks To Better Protect Investors, Commissioner Luis A. Aguilar, U.S. Securities And Exchange Commission, SEC Speaks, Washington, D.C., Feb. 21, 2014

Date 21/02/2014

Thank you for that kind introduction.  I am honored to be here today.  Before I begin my remarks, let me issue the standard disclaimer that the views I express today are my own, and do not necessarily reflect the views of the U.S. Securities and Exchange Commission (the “SEC” or “Commission”), my fellow Commissioners, or members of the staff.