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Marc Fagel, Director Of San Francisco Office, To Leave SEC

Date 03/04/2013

The Securities and Exchange Commission today announced that Marc Fagel, the director of the San Francisco Regional Office, will be leaving the agency later this month for the private sector. He has worked at the SEC for more than 15 years.
Direct Edge Trading Notice #13-14: Limit Up-Limit Down And Market-Wide Circuit Breaker Update

Date 03/04/2013

Effective Monday, April 8, 2013, Phase 1 of Limit Up-Limit Down (LULD) will begin for Tier 1 securities. The Phase 1 symbol rollout schedule is listed in the chart below. In addition, all Regulation NMS securities will become subject to the new Market-Wide Circuit Breaker (MWCB) rules on April 8, 2013.
SEC Streamlines Rule Filing Requirements For Dually Registered Clearing Agencies

Date 03/04/2013

The Securities and Exchange Commission today announced a final rule that streamlines the process for rulemaking by clearing agencies that are registered with both the SEC and the Commodity Futures Trading Commission (CFTC).
CFTC Issues Final Order To Exempt Certain Specified Transactions Of Regional Transmission Organizations And Independent System Operators

Date 03/04/2013

The Commodity Futures Trading Commission (CFTC) approved a final order that exempts certain specified transactions of Regional Transmission Organizations (RTOs) and Independent System Operators (ISOs) from certain provisions of the Commodity Exchange Act (CEA) and Commission regulations. This order is in response to a petition from certain RTOs and ISOs that are subject to regulation by either the Federal Energy Regulatory Commission (FERC) or the Public Utility Commission of Texas (PUCT). The Commission voted 5 to 0 via seriatim.
TMX Group: Important Notice Regarding The Consolidated Short Position Report - March 31, 2013

Date 03/04/2013

Important Notice Regarding the Consolidated Short Position Report: IIROC has identified an error in a Participant’s reporting practice that has affected positions displayed in the Consolidated Short Position Report (CSPR). IIROC has been advised that the Participant’s error has been addressed in its reporting for the CSPR as at March 31, 2013. Please refer to the IIROC Notice for further information.

April 2013 InBOX April 2013 InBOX

Date 03/04/2013

This is the April issue of InBOX, your news source from inside the BOX Options Exchange. This monthly publication will provide convenient summaries of recent developments at BOX.
CFTC Issues Final Order To Exempt Certain Non-Financial Energy Derivative Transactions between Government And/Or Cooperatively-Owned Electric Utilities

Date 03/04/2013

The Commodity Futures Trading Commission (CFTC) approved by a seriatim vote of 5 - 0 a Final Order that exempts certain non-financial energy derivative transactions between and amongst government-owned electric utilities and cooperatively-owned electric utilities from most of the requirements of the Commodity Exchange Act (CEA). The entities eligible for the relief are charged with a unique public service mission of providing their customers with reliable, affordable electric energy service. The Dodd-Frank Wall Street Reform and Consumer Protection Act directed the Commission to provide such an exemption for certain transactions between certain electric utilities if it is in the public interest. The Commission issued a Proposed Order on August 23, 2012, and requested public comments for 30 days. The Final Order makes changes, mostly clarifying and technical, to the Proposed Order based on the comments received.
Irish Stock Exchange Statistics March 2013

Date 03/04/2013

Please click here for the March 2013 ISE monthly statistical report.
“The End-User Bill Of Rights” - Statement Of CFTC Commissioner Bart Chilton

Date 03/04/2013

We are one week away from an important date in Dodd-Frank implementation: the April 10 compliance date for Dodd-Frank swap reporting rules for end-users. This date represents the first major compliance date for the end-user community, a class of market participants that includes many who have not been regulated by the CFTC until now.
NASDAQ OMX Announces Pilot Plan For ETF Market Quality Program

Date 03/04/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today announced that the Market Quality Program (MQP) will launch in the second quarter of 2013. MQP is an optional listing program that allows exchange traded fund (ETF) issuers to contribute funds to the Exchange that may be used to pay market makers that improve the liquidity and quality of the markets in MQP products. This groundbreaking liquidity and market quality incentive program in the U.S. will be available only on The NASDAQ Stock Market, the largest and most liquid cash equities market on the planet, and has been approved by the Securities and Exchange Commission on a pilot basis.