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Keynote Address At The International Conference On The Foreign Corrupt Practices Act, Andrew Ceresney, SEC Co-Director Of The Division Of Enforcement, Washington, DC, Nov. 19, 2013

Date 20/11/2013

I. Introduction

Thank you for that kind introduction. At the outset, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.

SEC Names Julie Lutz As Director Of Denver Regional Office

Date 20/11/2013

The Securities and Exchange Commission today announced the appointment of Julie K. Lutz as director of the Denver Regional Office, where she will oversee enforcement and examinations in a seven-state region.

NYSE Member Firms Report Third-Quarter 2013 Results

Date 20/11/2013

New York Stock Exchange member firms that conduct business with the public reported a third-quarter 2013 after-tax profit of $2.2 billion and revenues of approximately $37.7 billion, compared with a $2.2 billion after-tax profit on revenues of about $39.5 billion in the second-quarter of 2013.

CFTC Announces Weekly Swaps Report - Transparency Initiative Will Give The Public A New Window Into The Formerly Opaque Swaps Market

Date 20/11/2013

Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler today announced the initiation of the CFTC Weekly Swaps Report. The weekly report will provide the public with a detailed view of the swaps marketplace that before the Dodd-Frank Act was an opaque market. Today’s report currently covers the interest rate and credit asset classes that comprise about 90% of the approximately $400 trillion swaps market. The report provides three views of the swaps market: the gross notional outstanding value, the weekly transactions measured by dollar volume, and the weekly transactions measured by ticket volume. For each asset class, the report provides detailed breakdowns of the swaps market by product type, currency (six major currencies), tenor, participant type, and whether swaps are cleared or uncleared. The Weekly Swaps Report is available at http://www.cftc.gov/MarketReports/SwapsReports.

SEC Announces Fraud Charges Against Two Florida-Based Investment Advisers

Date 20/11/2013

The Securities and Exchange Commission today announced charges against two Tampa-area investment advisers accused of committing fraud by failing to truthfully inform clients about compensation received from offshore funds they were recommending as safe investments despite substantial risks and red flags.

SIFMA Statement On Baucus' Tax Reform Discussion Draft

Date 20/11/2013

SIFMA today issued the following statement from former Senator Judd Gregg, SIFMA CEO, on the tax reform discussion draft released by Senate Finance Committee Chairman Max Baucus on international tax issues that would require US-based companies to pay a minimum level of tax on foreign subsidiaries' earnings:

"SIFMA applauds Chairman Max Baucus for recognizing that our international tax system is outdated and must be modernized to allow US firms to be competitive in the global economy.  The success and profitability of US companies providing services and products abroad has been critical to the growth of the United States economy, and the Chairman should be commended for undertaking the difficult task of reforming our international tax laws on a revenue neutral basis."

Minutes Of The Federal Open Market Committee, October 29-30, 2013

Date 20/11/2013

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on October 29-30, 2013 and of the conference call held on October 16, 2013.

Council Of The European Union: Informal Agreement On Adaptation Of Auction Timetable Of Greenhouse Gas Emission Allowances

Date 20/11/2013

The Council today endorsed the compromise reached between the Council and the European Parliament in their negotiations on a decision to amend directive 2003/87/EC clarifying provisions on the timing of auctions of greenhouse gas allowances.

European Central Bank Nominates Candidate For Chair Of The Single Supervisory Mechanism Supervisory Board

Date 20/11/2013

The Governing Council of the ECB has today nominated Ms Danièle Nouy for Chair of the Supervisory Board of the new Single Supervisory Mechanism and has informed the Chair of the ECON Committee of the European Parliament Ms Sharon Bowles in line with the Inter-Institutional Agreement. Ms Nouy will appear before the European Parliament ECON Committee at a hearing scheduled for Wednesday, 27 November 2013.

Adam Maciejewski President Of The Management Board Of Warsaw Stock Exchange Appointed To FESE Board

Date 20/11/2013

Adam Maciejewski has been appointed to the Board of the Federation of European Securities Exchanges (FESE).