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Date 18/02/2011
FIA PTG Statement On Today's Joint CFTC-SEC Advisory Committee Recommendations
The FIA Principal Traders Group today issued the following statement in response to the release of the Joint CFTC-SEC Advisory Committee’s recommendations regarding regulatory responses to the market events of May 6, 2010.
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Date 18/02/2011
BM&FBOVESPA Announces New Selection Process For Unsponsored Level 1 BDRs - Depository Institutions Have Until March, 18, 2011 To Send In Proposals
BM&FBOVESPA announce the start of a new selection process for depository institutions authorized to issue Unsponsored Level 1 BDRs (Brazilian Depositary Receipts). The winner will issue 10 BDR programs that represent stocks issued by publicly-traded companies with headquarters overseas. The depository institutions that wish to take part in the selection process should forward their proposals by March 18, 2011. The rules of the selection process are contained in the call for bids Bid Notice and the winning bid will be disclosed March 24, 2011.
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Date 18/02/2011
FINRA Enforcement Executive Director James Shorris Returning To Private Sector
The Financial Industry Regulatory Authority (FINRA) announced today that James S. Shorris, who has served for more than seven years in leadership positions for FINRA's Enforcement Department and that of its predecessor, NASD, will leave the organization in April to return to the private sector. Shorris has been responsible for directing the investigation and prosecution of disciplinary actions at the national and district levels.
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Date 18/02/2011
SEC Executive Director Diego Ruiz To Leave Agency
The Securities and Exchange Commission announced today that its Executive Director, Diego Tomás Ruiz, intends to leave the agency to return to the private sector.
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Date 18/02/2011
SIFMA Addresses Business Conduct Standards For Swap Dealers In Comment Letter To CFTC
SIFMA today submitted a comment letter to the Commodity Futures Trading Commission (CFTC) regarding its proposed rule on business conduct standards for swap dealers and major swap participants (MSPs). In its letter, SIFMA expressed concerns about various aspects of the CFTC’s proposal, including unintended adverse consequences for customers of swap dealers, and instances where the CFTC has gone beyond the mandates of the underlying legislation.
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Date 18/02/2011
SEC: Sean McKessy Named Head Of Whistleblower Office
The Securities and Exchange Commission today announced that Sean McKessy will oversee the new Whistleblower Office in the Division of Enforcement. The Office will consolidate existing resources to administer the whistleblower provisions called for by The Dodd-Frank Wall Street Reform and Consumer Protection Act.
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Date 18/02/2011
Opening Statement, Meeting Of The: Joint Advisory Committee On Emerging Regulatory Issues - CFTC Chairman Gary Gensler
Good morning. I am pleased to join Chairman Schapiro in welcoming the members of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to our fifth public meeting. This is the third time this week that Chairman Schapiro and I have shared a table. I had the honor of testifying alongside Chairman Schapiro before Congressional committees in both the House and Senate on implementation of the Dodd-Frank Act. We also are focused on strengthening our markets to prevent similar events as those that occurred on May 6 of last year.
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Date 18/02/2011
SEC Charges Seven In Global Warming Pump-And-Dump Scheme
The Securities and Exchange Commission today charged a group of seven individuals who perpetrated a fraudulent pump-and-dump scheme in the stock of a sham company that purported to provide products and services to fight global warming.
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Date 18/02/2011
BM&FBOVESPA Trading Times
BM&FBOVESPA hereby informs you that the current trading times remain unchanged for the Bovespa and BM&F segments, despite the end of daylight saving time in Brazil on Saturday (February 19), with the exception of Arabica coffee derivatives and cash-settled soybean derivative contracts.
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Date 18/02/2011
BATS Global Markets Agrees To Acquire CHI-X Europe - Deal Links Largest Pan-European Venues - Pending Regulatory Approval
BATS Global Markets today entered a definitive agreement to acquire Chi-X Europe, creating the largest pan-European trading centre in terms of market share and notional value traded.
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