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New Zealand's Financial Markets Authority AFA Update: Issue # 21 - Regulatory Reporting – Update

Date 12/02/2014

Last September we invited submissions about our proposed Regulatory Reporting Guide and Information Return.

CFTC Requests Public Comment On A Petition Submitted By LCH.Clearnet Ltd For An Amendment To Its Orders Of Registration As A Derivatives Clearing Organization

Date 11/02/2014

The U.S. Commodity Futures Trading Commission (Commission or CFTC) is requesting public comment on a petition from LCH.Clearnet Ltd (LCH) for an amendment to and consolidation of its orders of registration as a derivatives clearing organization (DCO). Specifically, the amendment would permit LCH to provide clearing services for “swaps,” as defined in the Commodity Exchange Act and Commission regulations, as well as all futures and options on futures.

NYSE Group Inc. Issues Short Interest Report

Date 11/02/2014

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of January 31, 2014.

NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date January 31, 2014

Date 11/02/2014

At the end of the settlement date of January 31, 2014, short interest in 2,166 NASDAQ Global MarketSM securities totaled 7,121,344,575 shares compared with 7,109,533,384 shares in 2,163 Global Market issues reported for the prior settlement date of January 15, 2014. The end-of-January short interest represents 3.68 days average daily NASDAQ Global Market share volume for the reporting period, compared with 4.90 days for the prior reporting period.

NYSE MKT Issues Short Interest Report

Date 11/02/2014

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of January 31, 2014.

SIFMA Statement Urging Swift Passage Of A Debt Ceiling Deal

Date 11/02/2014

SIFMA today released the following statement from Kenneth E. Bentsen, Jr., president and CEO, on the debt ceiling:

"SIFMA strongly urges the Congress and President to work together and reach a prompt agreement on the debt ceiling.  A default and failure to pay on a Treasury security is an unprecedented event with unpredictable consequences on the global financial system.  Our debt is the currency of the world and default should never be an option. Congress and the Administration must not delay any further to avoid market disruption and a negative hit to the economy.” 

Two Hong Kong-Based Firms To Pay $11 Million For Insider Trading Ahead Of Nexen Acquisition By Company In China - SEC’s Quick Action After Trades Prevented Illegal Profits

Date 11/02/2014

The Securities and Exchange Commission today announced that two Hong Kong-based asset management firms whose accounts were frozen in a major insider trading case have agreed to pay nearly $11 million to settle the charges against them.

SIFMA Recommends Full Market Close On February 17 for Trading Of US Dollar-Denominated Fixed-Income Securities In Observance Of The Presidents Day Holiday

Date 11/02/2014

SIFMA has confirmed its previous recommendation for a full market close on Monday, February 17 for the trading of US dollar-denominated fixed-income securities in the United States, the United Kingdom and Japan in observance of the U.S. Presidents' Day Holiday. 

Statement On Verdict In Jury Trial Of Fund Manager Involved In Petters Ponzi Scheme - Andrew Ceresney Director, SEC Division of Enforcement, Feb. 11, 2014

Date 11/02/2014

"We’re very pleased the jury found Marlon Quan liable for securities fraud and that he will be held accountable for his deception in funneling several hundred million dollars of investor money into the Tom Petters Ponzi scheme."

Direct Edge Trading Notice #14-04: Market Holiday Reminder – President’s Day

Date 11/02/2014

BATS BYX Exchange, BATS BZX Exchange, EDGA Exchange, EDGX Exchange, and BATS Options will be closed on Monday, February 17, 2014 in observance of Presidents’ Day.  Normal trading will resume Tuesday, February 18, 2014.