News Centre

SEC Announces Charges Against Four Former Officials At Clearing Firm Penson Financial Services For Regulation SHO Violations

Date 19/05/2014

The Securities and Exchange Commission today announced charges against four former officials at clearing firm Penson Financial Services for their roles in Regulation SHO violations.

TABB Examines Alternative Trading System Matching Logic, Sees First Net Decline In 2014 Since SEC’s Reg ATS Approval In 1999 - New Research Advocates For Further ATS Transparency

Date 19/05/2014

In new research examining the rise in active Alternative Trading Systems (ATSs) in NMS securities since 2005, TABB Group says ATS registrations have reached a near-term peak and estimates a net decrease of three ATSs in 2014, the industry’s first net decline since the SEC’s approval of Reg ATS.

Three Key Pressure Points In The Current Enforcement Environment, SEC Chair Mary Jo White, NYC Bar Association’s Third Annual White Collar Crime Institute, New York, NY, May 19, 2014

Date 19/05/2014

Introduction

Thank you, John Savarese, for that kind introduction.  It is great to be here with you in New York.  This is the City Bar Association’s Third Annual White Collar Crime Institute.  It is always a terrific program and I am honored to be to kicking off this year’s event.  As I look out at the audience and see so many familiar faces that I have worked with over the years, I am reminded of the extraordinary talent and professionalism that you bring to the white collar bar.

Amman Stock Exchange: Sunday May 25 A Public Holiday To Celebrate Independence Day

Date 19/05/2014

According to the Prime Minister announcement on the occasion of the Independence Day, the ASE will be closed on Sunday, May 25, 2014.

EEX: High Volumes On The Natural Gas Spot Market

Date 19/05/2014

Last Friday, on 16 May 2014, a volume of 1,652,494 MWh was traded in the German market areas GASPOOL and NCG as well as in the Dutch market area TTF. This represents the highest daily volume that has been traded in May 2014 so far. In total, 94 participants were active on that day. All natural gas products of EEX and Powernext are available on their joint gas trading platform PEGAS.

BATS Global Markets Provides EDGA And EDGX Full Market Depth Data To Bloomberg

Date 19/05/2014

Direct Edge, a BATS Global Markets Company, today announced that its EdgeBook Depth data feed, which provides full depth-of-book order information from Direct Edge’s EDGA and EDGX exchanges, is now available on the Bloomberg Professional® service to subscribers of real-time U.S. Level 1 market data. BATS Global Markets’ BZX exchange data is already available to Bloomberg users.

SEC Charges Two Clinical Drug Trial Doctors With Insider Trading

Date 19/05/2014

The Securities and Exchange Commission today charged two California-based doctors with illegally trading on inside knowledge that the Food and Drug Administration (FDA) had halted the clinical trials of a new prostate cancer drug developed by biopharmaceutical company GTx Inc. 

Direct Edge Trading Notice #14-18: Market Holiday Reminder – Memorial Day

Date 19/05/2014

BATS BYX Exchange, BZX Exchange, EDGA Exchange, EDGX Exchange and BATS Options will be closed on Monday, May 26, 2014, in observance of Memorial Day.  Normal trading will resume Tuesday, May 27, 2014.

MGEX: Open Interest Number 16 On Daily Open Interest Records

Date 19/05/2014

MGEX, a Designated Contract Market (DCM) and DerivativesClearing Organization (DCO), reports open interest at number 16 on the daily Exchange open interest records. A total of five days in May are now in the top 25.

Opening Remarks Of US Treasury Under Secretary Mary Miller At The Financial Stability Oversight Council Conference On Asset Management

Date 19/05/2014

Thank you all for joining us today.  My name is Mary Miller.  I am the Under Secretary for Domestic Finance here at the Treasury Department.  I also have the pleasure of serving as the Chair of the Deputies Committee of the Financial Stability Oversight Council.  This group of senior government officials meets frequently to advance the work of the Council by overseeing ongoing projects and developing recommendations for Council members.  It is a role I take seriously, as do my colleagues on the committee with whom I am privileged to serve.