News Centre

SEC Staff To Host Decimalization Roundtable

Date 03/12/2012

The Securities and Exchange Commission today announced that its staff will host a roundtable early next year to discuss the impact of decimal-based stock trading on small and mid-sized companies, market professionals, investors, and U.S. securities markets.

CBOE Holdings Reports November 2012 Consolidated Trading Volume - More All-Time Records For VIX Index Futures: Monthly And Average Daily Volume

Date 03/12/2012

CBOE Holdings, Inc. (NASDAQ: CBOE) reported today that November 2012 consolidated trading volume for options contracts on Chicago Board Options Exchange® (CBOE®) and C2 Options Exchange^SM (C2^SM) and futures contracts on CBOE Futures Exchange ^SM (CFE®) totaled 91.31 million contracts. 

Direct Edge Regulatory Notice #12-09: Consolidated Audit Trail In-Person Event On December 10, 2012 In New York, NY

Date 03/12/2012

The national securities exchanges and FINRA (collectively the "SROs") together are hosting an in-person event to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT). This event is being held in New York City and is open to all industry and other interested participants. Please note that the event is closed to the media.

Capital Formation From The Investor's Perspective By SEC Commissioner Luis Aguilar - AICPA Conference On Current SEC And PCAOB Developments

Date 03/12/2012

Thank you for that kind introduction, and for the opportunity to be with you  at the 40th annual AICPA Conference on Current SEC and PCAOB Developments. I  note that this year also marks the 125th anniversary of the AICPA's founding.  Congratulations on this milestone. Before I begin, let me issue the standard  disclaimer that the views I express are my own, and do not necessarily reflect  the views of the Securities and Exchange Commission, my fellow Commissioners, or  members of the staff.

OneChicago Announces Trading Volume For November 2012 - Volume In November Up 35% As Compared To The Same Period In 2011

Date 03/12/2012

OneChicago, LLC (OCX), an equity finance exchange, today announced that November 2012 volume of 481,724 was up 13% over October 2012.

Record-Breaking Volume For Month Of November At The KCBT

Date 03/12/2012

During the month of November, the Kansas City Board of Trade HRW wheat futures  contract and the exchange as a whole broke all previous November monthly volume  records. The previous record for HRW wheat futures was 602,081 contracts in  2010. The previous record for total exchange volume was 624,481 contracts, also  in 2010. Increased volume was attributed to the roll of December positions into  outer months and weather-related factors in the marketplace, according to  traders.

CFTC Approves Order To Add The Other Commodity Asset Class To The Provisional Registration Of DTCC Data Repository (U.S.), LLC As A Swap Data Repository

Date 03/12/2012

The U.S. Commodity Futures Trading Commission (CFTC) on December 3, 2012, approved an order for DTCC Data Repository (U.S.), LLC, a provisionally registered swap data repository, to accept swap data for the “other commodity” asset class pursuant to section 21 of the Commodity Exchange Act and part 49 of the Commission’s regulations.

OCC Reports Cleared Contract Volume Flat In November As Futures And Securities Lending Activity Rise

Date 03/12/2012

OCC announced today that total cleared contract volume reached 339,206,527 contracts in November, a 2 percent decrease from the November 2011 volume of 346,584,214 contracts. While overall cleared contract volume remained flat last month, OCC reported a significant rise in futures and securities lending activity. OCC’s year-to-date cleared contract volume reached 3,724,984,827 last month, down 13 percent from 2011, but an improvement from the 14 percent decline recorded after October.

Remarks Before The 2012 AICPA Conference On Current SEC And PCAOB Developments By Paul A. Beswick, Acting Chief Accountant, Office Of The Chief Accountant, U.S. Securities And Exchange Commission

Date 03/12/2012

Introduction

Good morning and thank you Melanie (Dolan) for the kind introduction, and  thanks once again for the invitation to share my views at the annual AICPA  National Conference on Current SEC and PCAOB Developments. Â This year I am  particularly glad to be here in person to actually deliver my remarks.

CFTC: Federal Court Orders MBF Clearing Corp. To Pay $650,000 For Violating Customer Fund Segregation Requirements

Date 03/12/2012

The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court order requiring MBF Clearing Corp. (MBF), a registered futures commission merchant, to pay a $650,000 civil monetary penalty for violating the Commodity Exchange Act (CEA) and CFTC regulations concerning the segregation of customer funds, and for supervision failures.  The order also permanently prohibits MBF and its successors from further violations of the CEA and CFTC regulations, as charged, and from failing to diligently supervise its employees and agents to insure the proper segregation of customer funds.