FTSE Mondo Visione Exchanges Index:
News Centre
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Date 30/09/2014
CFTC Staff Announced Extension Of No-Action Relief Concerning Certain Straight Through Processing Obligations For SEFs And DCMs From Compliance With Certain Requirements Of Commission Regulations For Package Transactions
The U.S. Commodity Futures Trading Commission’s (CFTC) Divisions of Clearing and Risk and Market Oversight (Divisions) today announced that Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) will have time-limited no-action relief from Commission Regulation 37.9(a)(2) regarding methods of execution for required transactions, or Commission Regulations 37.203(a) and 38.152 that prohibit pre-arranged trading, if a SEF or DCM permits a new trade, with terms and conditions that match the terms and conditions of the original trade, other than the time of execution, to be submitted for clearing. Effectively, SEFs and DCMs will be permitted to continue to use a “new trade, old terms” procedure that had previously been extended as part of implementation of the trade execution requirement for certain interest rate and credit default swaps [see Swaps Made Available To Trade Chart]. This no-action relief shall commence on the date of issuance of this letter and shall expire on February 16, 2015.
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Date 30/09/2014
NASDAQ OMX Holds Third Quarter 2014 Investor Conference Call
NASDAQ OMX (Nasdaq:NDAQ) has scheduled its Third Quarter 2014 results announcement.
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Date 30/09/2014
Nadex Launches Powerful Trading Platform Nadex Pro - Binary Options Exchange Expands Trading Platform To Desktop Software
The North American Derivatives Exchange (Nadex), a regulated online binary options exchange in the United States, today announced the release of Nadex Pro, an advanced trading platform designed to meet the specific demands for a user-friendly and fast trading application.
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Date 30/09/2014
SEC Fee Rate Advisory #2 For Fiscal Year 2015
When fiscal year 2015 starts on October 1, 2014, the Securities and Exchange Commission expects to be operating under a continuing resolution that will extend until December 11, 2014. Accordingly, the fees paid under Section 31 of the Securities Exchange Act will remain at their current rate until 60 days after the enactment of a regular appropriation for the SEC.
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Date 30/09/2014
FINRA Solicits Comment On Proposed Rule To Implement CARDS
The Financial Industry Regulatory Authority (FINRA) today issued Regulatory Notice 14-37 requesting comment on a proposed rule to implement the Comprehensive Automated Risk Data System (CARDS). CARDS would be designed to enhance investor protection and ensure market integrity by allowing FINRA to identify and quickly respond to high-risk areas and suspicious activities that it might not identify through its current surveillance and examination programs.
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Date 30/09/2014
New Capital Markets Industry Structure Emerging - Oliver Wyman And SWIFT Report Finds Market Forces Combine To Disrupt The Traditional Value Chain And Force Participants To Adapt Business Models
Oliver Wyman and SWIFT jointly published a report today titled, The Capital Markets Industry: The Times They Are A-Changin', that analyzes the medium-term outlook for the structure of the capital markets industry. Launched during Sibos 2014, the report examines a combination of market and regulatory forces reshaping the industry: economic pressure, constrained financial resources, greater scrutiny of conduct and conflicts, evolving client needs, and technological innovation.
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Date 30/09/2014
S&P Dow Jones Indices Market Attributes: Europe Index Dashboard
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Date 30/09/2014
The Commission’s Production And Use Of Structured Data Mark J. Flannery, SEC Chief Economist And Director, Data Transparency Coalition’s Fall Policy Conference, Washington, DC, Sept. 30, 2014
Thank you so much for inviting me here to speak on open data in financial regulation. Before I begin my remarks, I must make clear that the views I express today are mine alone and do not necessarily reflect the views of the Commission or of my colleagues on the Commission Staff.
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Date 30/09/2014
The Options Industry Council Introduces New Animated Glossary
The Options Industry Council (OIC) announced today a new educational offering, Options Glossary Illustrated. OIC’s Options Glossary Illustrated is an ongoing series of short, animated clips that explain basic options terms and key concepts. The series is now available on OIC’s YouTube channel.
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Date 30/09/2014
CFTC Charges Florida Company International Monetary Metals, Inc. And Florida Resident Martin Sommers With Engaging In Illegal, Off-Exchange Precious Metals Transactions
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil enforcement Complaint in the U.S. District Court for the Southern District of Florida against Defendants International Monetary Metals, Inc. (IMM) of Hollywood, Florida, and its president Martin Sommers of Cooper City, Florida. The CFTC Complaint charges the Defendants with engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis. The Complaint further alleges that Sommers, as controlling person for IMM, is liable for IMM’s violations of the Commodity Exchange Act (CEA).
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