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ASX: Proposed Changes On Long-Term Suspended Entities

Date 28/11/2013

ASX has today issued the final version of its proposed new Guidance Note 33 Removal of entities from the official list, which deals with when and how ASX may de-list an entity, either at the request of the listed entity or at the instigation of ASX.
New Zealand's Financial Markets Authority Announces New Chief Executive

Date 28/11/2013

The Financial Markets Authority (FMA) has appointed Rob Everett as its new Chief Executive, effective 3 February 2014.
MIAX Options Exchange: Penny Pilot Classes For Option Classes To Start Trading On December 3, 2013

Date 27/11/2013

Regulatory Circular 2013-69 identifies option classes to be included in the MIAX Penny Pilot Program starting on December 3, 2013.
Thomson Reuters/University Of Michigan: Stock Gains Offset Concerns About Economic Policies

Date 27/11/2013

Consumer confidence rebounded in late November, shaking off the last remnants of the federal shutdown. The November increase was due to an improved outlook for the economy, with the gains primarily among upper income households. Increases in household income and wealth were reflected in more optimistic personal financial assessments among those in the upper third of the income distribution, whereas households in the bottom third reported declines in their incomes as well as negative changes in their net worth. The current state of consumer sentiment is consistent with an economic growth rate slightly above 2%, largely stimulated by wealth gains not improvements in jobs and wages. This amounts to continued economic stagnation, which can be defined like the Fed's definition of stable prices, at about 2%—the average GDP growth rate in the past few years.
MIAX And ISG Extend Effective Date For Electronic Blue Sheet Data Elements

Date 27/11/2013

MIAX and the other U.S. members of the Intermarket Surveillance Group have extended the effective date for compliance with the following new data elements for Electronic Blue Sheets until May 1, 2014.

IOSCO: Supervisory Colleges Established For Internationally Active Credit Rating Agencies

Date 27/11/2013

The Supervisory Colleges for Standard & Poor’s, Moody’s and Fitch held their inaugural meetings on 5 – 6 November in New York. The colleges for S&P and Moody’s are chaired by the United States Securities and Exchange Commission (SEC) and the college for Fitch is chaired by the European Securities and Markets Authority (ESMA).
CFTC: Federal Court In California Orders James D. Crombie To Pay Over $1.5 Million For Misrepresentations To The National Futures Association And For Solicitation Fraud

Date 27/11/2013
- The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Order against defendant James D. Crombie of Virginia, requiring him to pay $789,540.47 in restitution to defrauded customers and a civil monetary penalty of $750,000. Crombie’s fraudulent scheme involved making false statements and providing false documents to the National Futures Association (NFA) and fraudulently soliciting funds for his former company, Paron Capital Management, LLC (Paron). The Order also imposes permanent trading and registration bans against Crombie and prohibits him from violating the Commodity Exchange Act, as charged.
CISI Comment On House Of Lords Vote Supporting Licensing Regime For Bankers

Date 27/11/2013

Simon Culhane, Chartered FCSI and CISI CEO said: “The Chartered Institute for Securities & Investment (CISI) welcomes the House of Lords Labour amendment yesterday to the Banking Reform Bill.
SEC Announces Agenda, Panelists For Roundtable On Proxy Advisory Services

Date 27/11/2013

The Securities and Exchange Commission today announced the agenda and panelists for its December 5 staff roundtable on the use of proxy advisory firm services by institutional investors and investment advisers.
Candidate For Boss Of EU Bank Supervisor Quizzed By MEPs

Date 27/11/2013

Danièle Nouy, the ECB's nominee for the new post of EU bank supervisor, was vetted by MEPs on Wednesday at a hearing in which she was quizzed about her views on banks' exposure to sovereign debt, the accountability of the future supervisor and the need to develop all the pillars of banking union.