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CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter For Commodity Pool Operators Of Registered Funds With Controlled Foreign Corporations

Date 05/09/2013

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter to commodity pool operators of registered funds that trade in commodity interests through wholly-owned controlled foreign corporations (CFCs). The letter states that DSIO will not recommend that the CFTC take enforcement action against commodity pool operators of registered funds for failure to provide a separate report for their CFCs to the National Futures Association (NFA) pursuant to CFTC regulation 4.27(c) and a separate annual report for their CFCs to NFA pursuant to CFTC regulation 4.22(c); provided that such commodity pool operators consolidate the reporting for the CFCs under CFTC regulations 4.27(c) and 4.22(c) with those of the registered fund.

NASDAQ OMX August 2013 Volumes

Date 05/09/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for August 2013, on its investor relations website. A data sheet showing the monthly volumes can be found at: http://ir.nasdaqomx.com/monthly-reporting/

According To ETFGI: Global ETFs And ETPs Suffered Net Outflows Of US$16.77 Billion In August 2013

Date 05/09/2013

Global ETFs and ETPs suffered record net outflows of US$16.77 billion in August after gathering near record net inflows of US$45.26 billion in July, according to ETFGI’s Global ETF and ETP industry insights report*. ETF and ETP assets have declined from the July record high of US$2.17 trillion to US$2.11 trillion at the end of August 2013. There are now 4,938 ETFs/ETPs, with 9,932 listings, from 211 providers listed on 57 exchanges.

Financial Stability Board Progress Reports On OTC Derivatives Reforms

Date 05/09/2013

The Financial Stability Board (FSB) published today a report by the FSB Chairman to the G20 Leaders summarising progress in over-the-counter (OTC) derivatives reforms, together with the sixth of the FSB's semi-annual comprehensive progress reports on implementation of OTC derivatives market reforms.

TSX Markets Top 20 Largest Consolidated Short Position Report - August 31, 2013

Date 05/09/2013

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending August 31, 2013.

Financial Stability Board Reports To G20 Leaders On Progress In The Financial Regulatory Reform Agenda

Date 05/09/2013

The Financial Stability Board (FSB) published today the following documents delivered to G20 Leaders for the St Petersburg Summit:

• a letter from the FSB Chair, Mark Carney, to the G20 Leaders, taking stock of the financial reforms since the global financial crisis and the major outstanding issues which call for the attention of Leaders;
• a narrative progress report, setting out in summary, non-technical language the framework of financial reforms that the FSB is coordinating at the request of G20 Leaders and the remaining steps that need to be taken to complete the reforms;
• a more detailed and comprehensive overview report on progress in the implementation of the financial reforms in order to strengthen financial stability; and
• a "scoreboard" status report prepared by the FSB Secretariat, in consultation with FSB members, that assesses the current state of progress made in global policy development and implementation of financial regulatory reforms.

NASDAQ OMX Group: Methodology Change To The PHLX Semiconductor Sector Index

Date 05/09/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today announced a change to the methodology of the PHLX Semiconductor Sector Index (Nasdaq:SOX).

SEC: Thailand-Based Trader Agrees To Pay $5.2 Million To Settle Insider Trading Case

Date 05/09/2013

The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC emergency action in June has agreed to pay $5.2 million to settle charges that he traded on inside information in advance of a public announcement about a proposed acquisition of Smithfield Foods by a firm in China.

Instinet Extends Liquidity Aggregation Technology To Japan VWAP Crossing Platforms

Date 05/09/2013

Instinet Incorporated today announced the introduction of Nighthawk® VWAP, a fully customizable variant of its award-winning Nighthawk algorithm that provides aggregated access to the expanding universe of pre-market VWAP crosses in Japan.

Irish Stock Exchange Statistics August 2013

Date 05/09/2013

Please click here for the August 2013 ISE monthly statistical report.