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Informal Remarks At Columbia Law School Conference (Hot Topics: Leading Current Issues In Securities Regulation and Enforcement) - SEC Commissioner Daniel M. Gallagher, Columbia Law School, New York, NY, Nov. 18, 2013

Date 18/11/2013

Thank you, Professor Coffee, for your kind introduction and for inviting me to speak at this conference. I’m also pleased to be here with Joel Seligman, who is well known to the SEC community for many, many reasons, not the least of which is that he is the co-author of the treatise Securities Regulation, along with the late Louis Loss and my good friend and former SEC Commissioner Troy Paredes.

New York Attorney General Schneiderman Announces $17 Million Multistate Settlement With Google Over Tracking Of Consumers - Agreement Secures Nearly $900K For New York And Reforms From Google To Prevent Future Violations Of Consumer Privacy - Schneiderman: Consumers Should Be Able To Know Whether Other Eyes Are Surfing The Web With Them

Date 18/11/2013

Attorney General Eric T. Schneiderman announced his office has entered into multistate a settlement agreement with Google Inc. concerning its unauthorized placement of cookies on computers using Apple Safari Web browsers during 2011 and 2012. Of the $17 million in settlement money, New York will receive $899,580.

CBOE Short-Term VIX Index Values Now Disseminated Every 15 Seconds

Date 18/11/2013

Chicago Board Options Exchange, Incorporated® (CBOE®) today announced that it has expanded the frequency for disseminating values on its recently created CBOE Short-term Volatility Index^SM (VXST^SM index). VXST index values now are generally disseminated every 15 seconds during the trading day versus once a day previously, allowing traders to track intra-day volatility of the index. 

Semi-Annual Changes To The NASDAQ OMX CRD Global Sustainability Index

Date 18/11/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) and CRD Analytics announced today the results of the semi-annual re-ranking of the NASDAQ OMX CRD Global Sustainability Index (Nasdaq:QCRD), which will become effective prior to market open on Monday, November 18, 2013.

London Stock Exchange Endorsed As A Globally Accepted Pre-Local Operating Unit In The Interim Global LEI System

Date 18/11/2013

• Regulatory Oversight Committee endorses London Stock Exchange  for global acceptance into the Interim Global LEI System
• International Entity Identifier codes accepted for both Dodd Frank regulatory reporting and upcoming EMIR regulations
• Consolidated file of all global Pre-LEI codes available on UnaVista
• Firms can now port their Pre-LEI to London Stock Exchange

Citi Becomes A New Member Of The Spanish Stock Exchange Under The Trading, Non-Settling Status

Date 18/11/2013

Citigroup Global Markets Limited has become a new member of the Spanish Stock Exchange, with the new status of Trading, non-Settling Membership.

CFTC Issues Notice Of Temporary Registration As A Swap Execution Facility To LatAm SEF, LLC

Date 18/11/2013

The U.S. Commodity Futures Trading Commission (CFTC) has approved the application of LatAm SEF, LLC (LatAm) for temporary registration as a swap execution facility (SEF). LatAm is a Delaware limited liability company.

Treasury International Capital Data For September

Date 18/11/2013

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for September 2013.  The next release, which will report on data for October 2013, is scheduled for December 16, 2013.

FSB Releases Guidance For More Effective Supervision Of Risk Appetite And Risk Culture At Financial Institutions

Date 18/11/2013

The Financial Stability Board (FSB) has today published two papers to assist supervisors in strengthening risk management practices at financial institutions:  

1. Principles for an Effective Risk Appetite Framework - finalised document; and
2. Guidance on Supervisory Interaction with Financial Institutions on Risk Culture - for public consultation. 

EEX Publishes Auction Calendar For 2014 - Dates And Volumes For The Common (EU), German And Polish Auctions Specified

Date 18/11/2013

Upon consultation with the European Commission and the participating Member States, with the German and Polish authorities, the European Energy Exchange (EEX) has determined the 2014 auction calendar for EU allowances (EUA) of the third trading period.