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CFTC Staff Extends Time-Limited No-Action Relief To Japan Securities Clearing Corporation And Its Qualifying Clearing Participants And Affiliates

Date 22/12/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Clearing and Risk (Division) today extended the no-action relief granted in CFTC Letter 13-73 to Japan Securities Clearing Corporation (JSCC) and its qualifying clearing participants and affiliates.
Nasdaq Secures #1 Position For Total IPOs At U.S. Exchanges In 2014 - Strongest Year For Listings At Nasdaq Since 2000 With 189 IPOs - 8 Of The Top 10 Best Performing IPOs In 2014 Listed On Nasdaq - More Health Care Companies Listed On Nasdaq Than Any Other U.S. Exchange In 2014

Date 22/12/2014

Nasdaq (Nasdaq:NDAQ) welcomed 313* new listings to The Nasdaq Stock Market in 2014, including 189 initial public offerings (IPOs) -- more IPOs than any other U.S. exchange, representing a 50 percent increase from the 126* IPOs that occurred on Nasdaq in 2013. 62 percent of the top 100 best performing IPOs overall this year, including 8 of the top 10, listed on Nasdaq and combined proceeds raised by Nasdaq-listed IPOs in 2014 totaled more than $22 billion.
Federal Court In Texas Orders Dallas-Based Steven Lyn Scott To Pay $766,625.30 In Restitution And A $700,000 Penalty To Settle Charges Of Solicitation Fraud, Misappropriation, And Registration Violations In Connection With A Forex Commodity Pool Scheme - The Court Earlier Entered A Consent Order Against Scott, Permanently Banning Him From The Commodities Industry

Date 22/12/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that the U.S. District Court for the Northern District of Texas issued a supplemental Consent Order of Permanent Injunction requiring Defendant Steven Lyn Scott (a/k/a Stevon Lyn Scott) of Dallas, Texas, to pay a $700,000 civil monetary penalty (CMP) and restitution of $766,625.30, plus post-judgment interest on both the CMP and restitution obligation. An earlier Consent Order of the Court, entered on May 5, 2014, imposes a permanent trading and registration ban against Scott and prohibits him from violating provisions of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. Scott has never been registered with the CFTC in any capacity.
SEC Charges Two Traders In Chile With Insider Trading

Date 22/12/2014

The Securities and Exchange Commission today charged two business associates in Chile with insider trading on nonpublic information that one of them learned while serving on the board of directors of a pharmaceutical company. The agency obtained a court order to freeze assets in the U.S. brokerage accounts used to conduct the trading.
Banking Agencies' Statement Regarding The Basel Committee's Consultative Paper "Revisions To The Standardized Approach For Credit Risk"

Date 22/12/2014

The Basel Committee on Banking Supervision (BCBS) today published a consultative paper entitled "Revisions to the Standardized Approach for credit risk." These proposed revisions are intended to apply primarily to large, internationally active banking organizations and not community banking organizations. A key objective of the paper is to seek comment on preliminary alternatives to internal models and external credit ratings for calculating risk-weighted assets.

SEC Charges Corporate Attorney And Wife With Insider Trading On Client’s Confidential Information

Date 22/12/2014

The Securities and Exchange Commission today charged a California-based attorney and his wife with insider trading on confidential information obtained from a corporate client.
ISE Gemini Introduces Flat Pricing For Price Improvement Auctions

Date 22/12/2014

ISE Gemini announced the introduction of a new “flat” pricing structure for price improvement mechanism (PIM) auctions as of January 2, 2015, subject to regulatory clearance. With this new model, both PIM auction initiators and responders will pay the same fee of $0.05 per contract. Priority Customers on the originating side of a PIM order will continue to be free. The new structure will create additional transparency and a more level playing field in auction pricing. It also has the potential to deliver a higher level of price improvement to the end customer by increasing competition among auction responders at a fee level substantially lower than competing auction mechanisms.
UK Financial Conduct Authority Confirms New Disclosure Rules And Transparency Rules

Date 22/12/2014

The FCA has today confirmed that new Disclosure Rules and Transparency Rules (DTRs) to report on payments to governments have entered into force. This follows an announcement on 12 December, which set out requirements under the Transparency Directive for issuers involved in the extractive or logging of primary forest industries to produce annual reports on payments made to the governments in the countries they operate in.
Two New Commercial Mortgage Backed Securities List On The Irish Stock Exchange

Date 22/12/2014

Deutsche Bank and Morgan Stanley last week listed commercial mortgage-backed security (CMBS) deals on the ISE.
CFTC Staff Issues Advisory And Time-Limited No-Action Position Regarding The CCO Annual Report

Date 22/12/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a staff advisory that provides guidance for chief compliance officers (CCO) of futures commission merchants, swap dealers and major swap participants (registrants) to comply with the requirement to prepare an annual report on the state of the registrant’s compliance program under Commission Regulation 3.3(e).