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Direct Edge Trading Notice #14-09: Regulatory Transaction Fee Rate Adjustment Per SEC Section 31 Rate Change Effective Tuesday, March 18, 2014

Date 06/03/2014

Overview
This Circular is being issued to inform you that in Fee Rate Advisory #3 for Fiscal Year 2014, the SEC announced that effective Tuesday, March 18, 2014, the Section 31 transaction fee rate applicable to securities transactions on the exchanges and over-the-counter markets will increase to $22.10 per million dollars. Until that date, the current rate of $17.40 per million dollars will remain in effect.
BOX Options Exchange Price Improvement Activity for February

Date 06/03/2014

In the month of February, price improved contracts on BOX Options Exchange averaged 107,060 per day.
US Agencies Issue Final Dodd-Frank Act Stress Test Guidance For Medium-Sized Firms

Date 05/03/2014

Three federal bank regulatory agencies are issuing final guidance describing supervisory expectations for stress tests conducted by financial companies with total consolidated assets between $10 billion and $50 billion.
Chair Janet L. Yellen At The Federal Reserve Board, Washington, D.C, March 5, 2014 - Remarks At The Ceremonial Swearing-In

Date 05/03/2014

Good afternoon. Thank you Dan, and thank you to everyone gathered here and others throughout the System who are listening in.
SEC Halts International Pyramid Scheme Being Promoted Through Facebook And Twitter

Date 05/03/2014

Securities and Exchange Commission today announced an emergency enforcement action to stop a fraudulent pyramid scheme by phony companies masquerading as a legitimate international investment firm.

CFTC, FERC Implement Information Sharing MOU - Agencies Also Create Interagency Surveillance And Data Analytics Working Group

Date 05/03/2014

Commodity Futures Trading Commission (CFTC) Acting Chairman Mark Wetjen and Federal Energy Regulatory Commission (FERC) Acting Chairman Cheryl LaFleur today announced the initial transmission of market data under the recently-adopted CFTC-FERC Memorandum of Understanding (MOU) for use in analyzing market activities and protecting market integrity.
Deutsche Börse: Changes To SDAX And TecDAX - Changes Are Effective On 24 March 2014

Date 05/03/2014

On Wednesday Deutsche Börse decided on changes in its selection indices that will become effective 24 March 2014.
SEC Announces Largest Monetary Sanction For Rule 105 Short Selling Violations

Date 05/03/2014

The Securities and Exchange Commission today announced the largest-ever monetary sanction for Rule 105 short selling violations as a Long Island-based proprietary trading firm and its owner agreed to pay $7.2 million to settle charges.
Statement Of Dissent By CFTC Commissioner Scott D. O’Malia, Fiscal Year 2015 President’s Budget & Performance Plan

Date 05/03/2014

I respectfully dissent from the Fiscal Year (“FY”) 2015 budget request1 because the Commission continues to make improbable funding requests and still continues to significantly under fund technology. I had hoped that the Commission would have completed by now a strategic plan that includes a technology and workforce investment program and sets out the Commission’s mission priorities. However, the Commission has failed to develop such a strategic plan and missed the statutory deadline2 for submitting the plan to the Administration and Congress. As a result, the Commission makes an unrealistic request for new staff and funding in this budget request without a firm understanding of its mission priorities, specific goals, and corresponding personnel and technology needs.
Toronto Stock Exchange And CPA Canada Priming Issuers For Environmental And Social Disclosure

Date 05/03/2014

Toronto Stock Exchange (TSX) and Chartered Professional Accountants of Canada (CPA Canada) today launched a joint publication titled, A Primer for Environmental & Social Disclosure.