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  • CFTC Seeks Public Comment On Certification From Javelin SEF, LLC To Implement Available-To-Trade Determinations For Certain Interest Rate Swaps

    Date 18/10/2013

    The Commodity Futures Trading Commission (CFTC or Commission) is requesting public comment on a certification from Javelin SEF, LLC (Javelin) to implement available-to-trade determinations for certain interest rate swap contracts. Javelin submitted its available-to-trade determinations to the Commission on a self-certified basis pursuant to Commission regulations 37.10 and 40.6. If Javelin’s submission is deemed certified by operation of Commission regulation 40.6, such swap contracts, whether listed or offered by Javelin or any other designated contract market (DCM) or swap execution facility (SEF), will be subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA). All transactions involving swaps that are subject to the trade execution requirement generally must be executed on either a DCM or a SEF. In addition, to the extent that such transactions are executed on a SEF, they must be executed in accordance with the execution methods prescribed by Commission regulation 37.9(a)(2).

  • BATS 1000 Index Rises 2.3% This Week

    Date 18/10/2013

    BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) jumped 452.20 points, or 2.3%, this week to close at 19,713.62 as of the 4 p.m. ET market close today.

  • Joint Associations Committee On Retail Structured Products Response To The Joint Forum Consultative Document: Point Of Sale Disclosure In The insurance, Banking And Securities Sector

    Date 18/10/2013

    This paper responds to the Joint Forum Consultative Document: Point of Sale disclosure in the insurance,banking and securities sector (the “Consultation”) which has been prepared in order to identify and assess differences and gaps in regulatory approaches to Point of Sale (“POS”) disclosure in relation to investment or savings products in the insurance, banking and securities sectors. The Joint Associations Committee on Retail Structured Products (the “JAC”)1  welcomes the opportunity to comment on the recommendations and issues set out in the Consultation. We agree with and fully support the objective of enhancing consumer protection by providing guidance to regulators/supervisors that are considering developing or reviewingtheir POS disclosure requirements.

  • SEC Announces Fraud Charges Against Collateral Manager Of CDO

    Date 18/10/2013

    The Securities and Exchange Commission today announced charges against a Morristown, N.J.-based investment advisory firm and its owner for misleading investors in a collateralized debt obligation (CDO) and breaching their fiduciary duties.

  • TSX Markets Top 20 Largest Consolidated Short Position Report - October 15, 2013

    Date 18/10/2013

    Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending October 15, 2013.

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