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Keynote Address Of CFTC Chairman Gary Gensler At The 5th Annual Financial Regulatory Reform Symposium At George Washington University

Date 31/10/2013

Thank you, Art, for that kind introduction. I also would like to thank George Washington University for the invitation to speak today.

Direct Edge Fee Schedule Changes For November

Date 31/10/2013

Effective Friday, November 1, 2013, Direct Edge® will introduce the following pricing changes on the EDGX ExchangeSM (EDGX®) and EDGA ExchangeSM (EDGA®), pending filing with the Securities and Exchange Commission (SEC).

SEC Fee Rate Advisory #2 For Fiscal Year 2014

Date 31/10/2013

The Securities and Exchange Commission is operating under a continuing resolution until January 15.  Accordingly, the fees paid under Section 31 of the Securities Exchange Act will remain at their current rate until 60 days after the enactment of a regular appropriation for the SEC.

FIA Statement On CFTC Customer Protection Rule

Date 31/10/2013

The Futures Industry Association today issued the following statement regarding the Commodity Futures Trading Commission’s final rule on customer protections:

ESMA Closed For Public Holiday On 1 November

Date 31/10/2013

The European Securities and Markets Authority (ESMA) will be closed on Friday, 1 November for a public holiday. The offices will reopen on Monday, 4 November.

Program Trading Averaged 24.4 Percent Of NYSE Volume During Oct. 21-25

Date 31/10/2013

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Oct. 21-25.

UK’s Financial Conduct Authority Publishes Proposed Fees For Consumer Credit Providers

Date 31/10/2013

The Financial Conduct Authority (FCA) has published a consultation paper on proposed changes to the way it levies fees, including how much firms will be charged to be authorised to offer consumer credit services.

“Polls, Pols And Poltergeists” - Speech Of CFTC Commissioner Bart Chilton Before The Regulatory Compliance Association, New York City

Date 31/10/2013

We Just Don’t Care Polling

“One ringy dingy…two ringy dingies. Goodness gracious (snort) hello, I’m from We Just Don’t Care…Polling. We Just Don’t Care Polling, that’s us.”

Hong Kong's Securities And Futures Commission: Former Licensee Convicted Of Illegal Short Selling

Date 31/10/2013

The Eastern Magistrates’ Court today convicted Mr Chan Chi Yuen after he pleaded guilty to twenty-six counts of illegal short selling in the shares of Hutchison Whampoa Limited (Hutchison), China COSCO Holdings Company Limited (China COSCO) and China Coal Energy Company Limited (China Coal).

London Stock Exchange Group: Proquote Launches Global Order Routing Network For Retail Brokers

Date 31/10/2013