News Centre

ASX Compliance Monthly Activity Report – September 2013

Date 04/10/2013

New listings for the month were Series 2013-1 Harvey Trust (HTB), Kin Mining NL (KIN), Linktone Ltd (LTL), Regeneus Ltd (RGS) and Smartpay Holdings Limited (SMP).

The Importance of Independence - SEC Chair Mary Jo White - 14th Annual A.A. Sommer, Jr. Corporate Securities And Financial Law Lecture, Fordham Law School

Date 04/10/2013

Thank you.  I am tremendously honored to have been asked to give the 14th annual A. A. Sommer, Jr. lecture.  The topic I have chosen to speak about – “The Importance of Independence” – is in tribute to both Al Sommer and the many women and men who have served the SEC and investors since 1934.

CBOE's SPXpm Options Establish New Daily Volume Record

Date 04/10/2013

Chicago Board Options Exchange, Incorporated (CBOE® today reported that trading volume in SPXpmSM -- S&P 500® Index options that are PM-settled -- established an all-time daily volume record yesterday as 54,611 contracts changed hands. Wednesday's record surpassed the previous daily volume record of 39,472 SPXpm contracts traded on June 21, 2013.

BOX Options Exchange October 2013 InBOX

Date 03/10/2013

This is the October issue of InBOX, your news source from inside the BOX Options Exchange. This monthly publication will provide convenient summaries of recent developments at BOX.

BM&FBOVESPA Publishes September Market Performance

Date 03/10/2013

Salt Lake Regional Office Director Kenneth Israel To Retire From SEC After More Than 38 Years

Date 03/10/2013

The Securities and Exchange Commission today announced that Kenneth Israel, director of the Salt Lake Regional Office, is retiring after more than 38 years at the agency.

MGEX Announces Results Of 2013 Board Of Directors Election

Date 03/10/2013

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), announced the results of its annual Board of Directors (Board) election, held October 3, 2013. Re-elected to the Board were Richard A. Dusek and Marc L. Gordon. Newly elected to the Board was Murray Stahl. All will serve two-year terms.  

Australian Swap Dealers Begin Reporting OTC Derivatives Trades To ASIC Through DTCC’s Global Trade Repository Service

Date 03/10/2013

• All Major Australian Banks leverage DTCC’s GTR Service to Meet ASIC October 1 Reporting Deadline

• Ability to Leverage Platform Used for Reporting to Other Jurisdictions Demonstrates the Value of Data Standards and Regulatory Harmonization across borders

BOX Options Exchange Price Improvement Activity For September

Date 03/10/2013

In the month of September, price improved contracts on BOX Options Exchange averaged 170,115 per day.

Remarks By Richard Ketchum, Chairman And Chief Executive Officer FINRA, From The Council For Economic Education

Date 03/10/2013

Introduction

Thank you, Nan [Morrison], for that introduction. I'm honored to be here to participate in the conversation about building the levels of economic and financial literacy among youths.