News Centre

SEC Chair White Statement On Meeting With Leaders Of Exchanges

Date 12/09/2013

Securities and Exchange Commission Chair Mary Jo White today issued the following statement after meeting with leaders of the equities and options exchanges, FINRA, DTCC, and the Options Clearing Corporation. 

Statement From Robert Greifeld, CEO, NASDAQ OMX On Today's SEC Industry Meeting

Date 12/09/2013

"Today's meeting organized by the SEC was an important and constructive step forward to address the soundness and reliability of critical infrastructure underpinning the U.S. capital markets. The recommendations discussed today with regulators and key industry participants are designed to accomplish three overarching objectives: to improve the operational resiliency of our markets, strengthen interoperability standards between exchanges and market participants, and establish a clear governance and testing framework for the industry."

Reference Data Review - LSEG Go Live On Pre-LEI

Date 12/09/2013

Following a recent interview with Emma Kalliomaki, Reference Data Review published an article detailing the go-live of the London Stock Exchange's pre-LEI system.

Statement Of CFTC Commissioner Chilton To The CFTC Technology Advisory Committee

Date 12/09/2013

Thank you, Chairman O'Malia and thank you to the Technology Advisory Committee (TAC) members for your participation.

TOM Insight August 2013

Date 12/09/2013

Click here to download TOM’s August ‘13 Insight, a document describing matching statistics on TOM MTF and savings made for the retail client by TOM Smart Execution.

Monitoring Note on the Effects of Regulatory Reforms on Emerging Market and Developing Economies

Date 12/09/2013

The FSB, in collaboration with the International Monetary Fund (IMF) and the World Bank, prepared a study in June 2012 to identify the extent to which the agreed regulatory reforms may have unintended consequences for EMDEs.The G20 Leaders, in the Los Cabos Summit Declaration, welcomed the study and "encourage[d] continued monitoring analysis and reporting by the FSB and dialogue among the FSB, standard-setters, international financial institutions and national authorities of EMDEs, to address material unintended consequences as appropriate without prejudice to our commitment to implement the agreed reforms".

The Options Industry Council Announces Investor Education Day In New York September 21

Date 12/09/2013

The Options Industry Council (OIC) today announced that its next Investor Education Day (IED) for 2013 is taking place in New York on September 21.

FINRA Foundation Survey Reveals Over 80 Percent Of Respondents Are Exposed To Financial Scams - Over 40 Percent Unable To Identify Classic "Red Flags" Of Fraud

Date 12/09/2013

The FINRA Investor Education Foundation today issued a new research report—Financial Fraud and Fraud Susceptibility in the United States—which reveals that over 80 percent of respondents have been solicited to participate in potentially fraudulent schemes, and over 40 percent of those surveyed cannot identify some classic red flags of fraud.

Program Trading Averaged 27.1 Percent Of NYSE Volume During Sept. 3-6

Date 12/09/2013

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 Sept. 3-6.

Legislative Package For Banking Supervision In The Eurozone – Frequently Asked Questions

Date 12/09/2013

What has been voted today?

The European parliament has adopted today a package of legislative acts to set up a single supervisory mechanism (SSM) that contains:

1. a Council Regulation to give specific tasks related to financial stability and banking supervision to the European Central Bank (ECB);

2. a Regulation of the European Parliament and of the Council designed to align the existing Regulation 1093/2010 on the establishment of the European Banking Authority (EBA) to the modified framework for banking supervision.