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  • FINRA Names Robert L. D. Colby Chief Legal Officer

    Date 07/05/2012

    The Financial Industry Regulatory Authority (FINRA) announced today that it has hired Robert L. D. Colby as its Chief Legal Officer. Colby will oversee the corporate and regulatory functions of the Office of General Counsel, along with the Regulatory Policy Group, which, among other things, is responsible for implementing FINRA's Corporate Financing and Advertising rules. Colby will join FINRA on June 18.

  • BATS 1000 Index Down 2.4% Week April 30

    Date 07/05/2012

    BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000®Index (Ticker: BATSK) dropped 384.31 points, or 2.4%, this week to close at 15,502.89 as of 4 p.m. ET on 4 May 2012.

  • Advocating For Greater Federal And State Securities Regulatory Cooperation And Collaboration By Commissioner Luis A. Aguilar, U.S. Securities and Exchange Commission

    Date 07/05/2012

    Thank you Jack [Herstein] for that kind introduction and let me also take this moment to thank Jack for his leadership as the current President of NASAA (North American Securities Administrators Association). It is a pleasure to partner with NASAA and I look forward to the work we will engage in going forward.

  • ISDA: Perfecting Security Interests In Cash Collateral - Comment To Ontario Minister Of Consumer Services

    Date 07/05/2012

    The purpose of this letter is to communicate the support of the International Swaps and Derivatives Association (ISDA) for the proposal of the Ontario Bar Association Personal Property Security Law Subcommittee entitled Perfecting Security Interests in Cash Collateral (OBA Proposal) and to respond to your letter to us dated April 5, 2012.

  • Joint Statement On Regulation Of OTC Derivatives Markets

    Date 07/05/2012

    The Securities and Exchange Commission today released the following joint statement with other regulators:

    Leaders and senior representatives from key authorities with responsibility for the regulation of the over-the-counter (OTC) derivatives markets in their respective jurisdictions met on May 1, 2012 in Toronto. The meeting was hosted by the Ontario Securities Commission and its Chair, Mr. Howard I. Wetston, Q.C.