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  • An Open Letter To The SEC Staff, Commissioner Daniel M. Gallagher, U.S. Securities And Exchange Commission, Washington, D.C., Feb. 21, 2014

    Date 21/02/2014

    Thank you, Norm [Champ].

    Over the years, I've heard many quips and remarks about the name "SEC Speaks," including suggestions that a better title for this conference would be “SEC Squeaks."  One thing I've never heard, however, is the simple question, "To whom?”  If the SEC is speaking, who is listening?  More importantly, who do we want to listen?  I won't try to answer these questions today - after all, one of the great joys of being a Commissioner is that I can raise all kinds of questions, and then simply look to the staff for answers.  On that note, I'd like to take the opportunity at this event, one of the premier venues for the Commission to communicante, to speak to the SEC staff.  Directly, Commissioner to staffers.  And so, I would like to read to an open letter, a sincere letter, which I have penned to the SEC staff.

  • Former Commissioner Of US Securities And Exchange Commission Joins HSBC Board

    Date 21/02/2014

    HSBC Holdings plc (Ticker: HSBC.BH), has announced that Kathleen Casey has been appointed a Director of HSBC Holdings plc with effect from 1 March, 2014. She will be an independent non-executive Director and will become a member of the Group Audit Committee and the Financial System Vulnerabilities Committee.

  • National Stock Exchange Successful Transition To An Inverted Pricing Model

    Date 21/02/2014

    National Stock Exchange, Inc. (“NSX” or the “Exchange”) is issuing this Information Circular to provide an update to Exchange Equity Trading Permit (“ETP”) Holders that, the Exchange has successfully adopted the CBOE Stock Exchange’s (“CBSX”) fee schedule — a fee schedule that pays the “taker” $0.0015 to remove liquidity equal to or above $1.

  • CFTC Commitments Of Traders Reports Update

    Date 21/02/2014

    The current reports for the week of February 18, 2014 are now available.

  • SEC Charges Wall Street Investment Banker With Insider Trading In Former Girlfriend’s Account To Pay Child Support

    Date 21/02/2014

    The Securities and Exchange Commission today announced an emergency action against a New York City-based investment banker charged with insider trading for nearly $1 million in illicit profits.

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