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Date 23/02/2012
FINRA Issues New Investor Alert To Help Investors Understand Their Brokerage Account Statements
The Financial Industry Regulatory Authority (FINRA) today issued a new Investor Alert called It Pays to Understand Your Brokerage Account Statements and Trade Confirmations to help guide investors through the key elements of their account statements and trade confirmations. FINRA is reminding investors that reviewing their account statements not only helps them stay on top of their holdings, but also alerts them to errors or broker or firm misconduct, such as unauthorized trading or overcharging customers for handling transactions.
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Date 23/02/2012
CalPERS Applauds Apple Inc. Board For Adopting Majority Vote Standard
The California Public Employees’ Retirement System (CalPERS) today praised Apple Inc. for its decision to implement a majority vote standard for its Board of Directors.
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Date 23/02/2012
SIFMA Develops New Institutional Suitability Certificate To Facilitate Compliance With New FINRA Suitability Requirements
SIFMA today announced it has developed a new Institutional Suitability Certificate to facilitate broker-dealer compliance with new FINRA Rule 2111, specifically when dealing with institutional clients.
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Date 23/02/2012
Industry Authority Launches ETF Global Insight - Deborah Fuhr And Team To Provide Independent Research And Consultancy To The Global ETF Industry
Award-winning ETF authority, Deborah Fuhr, together with her long-established team, announced today the formation of ETF Global Insight, an independent research and consultancy firm aimed at providing services to the rapidly expanding global Exchange-Traded Fund (ETF) industry.
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Date 23/02/2012
Re-Proposed Procedures To Establish Appropriate Minimum Block Sizes For Large Notional Off-Facility Swaps And Block Trades; Further Measures To Protect The Identities Of Parties To Swap Transactions - CFTC Statement Of Commissioner Scott D. O’Malia
On December 7, 2010, the Commission proposed a rule that attempted to: establish minimum block sizes for large notional off-facility swaps and block trades; and institute measures to protect the identities of parties to swap transactions. Unfortunately, that proposal was fundamentally flawed and received numerous critical comments from market participants. Recognizing that the proposal was beyond repair, the Commission wisely chose to withdraw the proposal and began anew. I commend my fellow commissioners and staff for having the wherewithal to admit error and to develop a new proposal. Unfortunately, the new draft, while a modification of the block formula, still fails to establish a realistic proposal that utilizes asset-specific data to develop reasonable block standards, rather than a one-size-fits-all solution.
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Date 23/02/2012
Michel BARNIER Member Of The European Commission, Responsible For Internal Market And Services Restoring Stability And Growth: Europe Is Taking The Right Decisions U.S. Chamber Of Commerce Washington, DC, 23 February 2012
Excellencies, Ladies and Gentlemen,
I am very pleased to be with you today. I would like to thank the U.S. Chamber of Commerce, and Vice-President Gary LITMAN in particular, for organising this event.
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Date 23/02/2012
“Unreasonably Feeble” - Opening Statement Of CFTC Commissioner Scott D. O’Malia Regarding Open Meeting On One Final Rule And One Proposed Rule1
Introduction
The latest issue of The Economist features an article titled “Over-regulated America”2 that features as its archetype for excessive and badly-written regulation our own Dodd-Frank Act. The problem, the article points out, is that rules that sound reasonable on their own may impose a huge collective burden due, in part, to their complexity. Part of the problem is that we, as The Economist points out, are under the impression that we can anticipate and regulate for every eventuality. In our hubris, The Economist warns, our overreaching tends to defeat our good intentions and creates loopholes and perhaps unintentional safe-harbors, leaving our rules ineffectual and subject to abuse. The solution The Economist offers isn’t so unfamiliar, at least to this Commissioner. It is rather simple. It is just that: Rules need to be simple. Echoing President Obama’s 2011 Executive Order 13563 “Improving Regulation and Regulatory Review”3 (which applies equally to independent federal agencies such as the Commodity Futures Trading Commission (the “Commission” or “CFTC”) per a subsequent Executive Order4), The Economist advises that we ought to cut out the verbiage and focus on writing rules that articulate broad goals and prescribe only what is strictly necessary to achieve them.
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Date 23/02/2012
Lord Mayor Of London Addresses Cass Business School’s Dubai Centre - The Right Honourable David Wootton Joins Students, Alumni And Faculty Members To Celebrate Cass’s Achievements In The Middle East And North Africa
Cass Business School announced today that the Lord Mayor of London, the Right Honourable David Wootton, attended an alumni event to celebrate the school’s achievements in the Middle East and North Africa. The Lord Mayor of London led a delegation of UK business leaders, in his capacity as Chancellor of City University London, of which Cass Business School is a part.
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Date 23/02/2012
Opening Statement Regarding Ninth Open Meeting To Consider Final Dodd-Frank Rules - CFTC Commissioner Jill E. Sommers
Thank you Mr. Chairman and thanks to all of the staff who has put a tremendous amount of time and effort into formulating the final business conduct rules and the proposal for establishing appropriate minimum block sizes for swaps that we are voting on today. The challenges we face in implementing the Dodd-Frank Act are ongoing, and I cannot emphasize enough how proud I am to be part of an organization filled with such dedicated public servants.
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Date 23/02/2012
OIC Announces Edward J. Joyce To Receive Joseph W. Sullivan Award At The Annual Options Industry Conference
The Options Industry Council (OIC) announced today Edward J. Joyce as the 2012 recipient of the Joseph W. Sullivan Options Industry Achievement Award. This recognition on behalf of outstanding contributions to the growth and integrity of the U.S. options market. The award presentation will be at the 30th Annual Options Industry Conference, being held at The Roosevelt Hotel in New Orleans, from May 3-5.
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