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Date 21/12/2012
CFTC’s Division Of Clearing And Risk Issues No-Action Letter For Singapore Exchange Derivatives Clearing Limited And Its Clearing Members
The Commodity Futures Trading Commission’s (Commission) Division of Clearing and Risk (DCR) today issued a letter stating that DCR will not recommend that the Commission take enforcement action against Singapore Exchange Derivatives Clearing Limited (SGX-DC) for failing to register as a derivatives clearing organization (DCO) under section 5b(a) of the Commodity Exchange Act (CEA); and will not recommend enforcement action against SGX-DC’s clearing members for failing to register as futures commission merchants (FCMs) under section 4d(f)(1) of the CEA, in relation to the clearing and carrying of existing or new positions in certain commodity swaps for U.S. customers.
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Date 21/12/2012
MIAX Fee Schedule 12/21/2012
Details are available in the full MIAX Fee Schedule at: http://www.miaxoptions.com/sites/default/files/circular-files/MIAX_RC_2012_13.pdf
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Date 21/12/2012
CFTC’s Division Of Market Oversight Provides Additional Information Concerning Its Existing No-Action Relief (CFTC Letter No. 12-46) For Reporting Parties Regarding Legal Entity Identifiers And Certain Identifying Information
The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) today is providing additional information pertaining to its existing no-action relief for reporting parties under Parts 20, 45 and 46 of the Commission’s regulations (CFTC Letter No. 12-46 or Letter).
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Date 21/12/2012
BATS 1000 Index Rose 1.3% This Week
BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) gained 208.64 points, or 1.3%, this week to close at 16,110.60 as of the 4 p.m. ET market close today.
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Date 21/12/2012
CFTC Approves Exemptive Order On Cross-Border Application Of The Swaps Provisions Of Dodd-Frank
The Commodity Futures Trading Commission (Commission) today approved an exemptive order providing time-limited relief from certain cross-border applications of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) and the Commission’s regulations. The purpose of the order is to foster an orderly phase in to the new swaps regulatory regime and to provide market participants greater certainty regarding their obligations with respect to cross-border swap activities. Under the exemptive order, a non-U.S. person that registers with the Commission as a swap dealer (SD) or major swap participant (MSP) may delay compliance with certain entity-level requirements adopted under the Dodd-Frank Act, and non-U.S. SDs and MSPs and foreign branches of U.S. SDs and MSPs may delay compliance with certain transaction-level requirements adopted under the Dodd-Frank Act (subject to specified conditions). The order also includes a definition of the term “U.S. person” which will apply for purposes of the order. The vote was conducted via seriatim, which was approved 4 to 1, with Chairman Gensler and Commissioners Chilton, O’Malia and Wetjen voting in favor and Commissioner Sommers voting against. The exemptive order expires on July 12, 2013.
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Date 21/12/2012
CNSX And Pure Trading Christmas & New Year Holiday Schedule
Please be advised that CNSX and Pure Trading markets and offices will be closed for the following holidays.
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Date 21/12/2012
Statement Of Support By CFTC Chairman Gary Gensler On Final Exemptive Order Regarding Compliance With Certain Swap Regulations And Further Proposed Guidance (Final Order)
I support the Final Exemptive Order Regarding Compliance with Certain Swap Regulations and Further Proposed Guidance (Final Order). With this Commission action another important step has been taken to make swaps market reform a reality.
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Date 21/12/2012
SEC Charges Four Penny Stock Purchasers With Fraud
The Securities and Exchange Commission today charged four securities industry professionals with conducting a fraudulent penny stock scheme in which they illegally acquired more than one billion unregistered shares in microcap companies at deep discounts and then dumped them on the market for approximately $17 million in illicit profits while claiming bogus exemptions from the federal securities laws.
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Date 21/12/2012
CFTC Commitments Of Traders Reports Update
The current reports for the week of December 18, 2012 are now available.
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Date 21/12/2012
SEC Approves New Rules Regarding Lost Holders Of Securities
The Securities and Exchange Commission today unanimously approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact.
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