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Date 09/12/2013
Thomson Reuters Announces Business Leadership Appointments - New Presidents Named In Legal, Intellectual Property & Science And Global Growth & Operations
Thomson Reuters (TSX / NYSE: TRI), the world’s leading source of intelligent information for businesses and professionals, today announced the following changes to its leadership team, effective January 1, 2014.
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Date 09/12/2013
Remarks Before The 2013 AICPA National Conference On Current SEC And PCAOB Developments — Audit Policy And Current Auditing And Internal Control Matters - Brian T. Croteau, Deputy Chief Accountant, Office Of The Chief Accountant, Dec. 9, 2013
Introduction
Good morning. Thank you Melanie [Dolan] for the introduction and thank you to the AICPA for inviting me to be here again this year. For those unfamiliar with OCA’s Professional Practice Group (PPG), I am fortunate to have a talented and dedicated team of ten professionals who focus on audit quality and investor protection each and every day. We work closely with, and provide advice and support to, other offices and divisions within the SEC on auditing, internal control, and auditor independence matters. OCA’s PPG also has a significant role in leading and coordinating the Commission’s oversight of the Public Company Accounting Oversight Board’s (PCAOB) activities and so we work very closely with the PCAOB throughout the year to achieve our shared investor protection objectives.
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Date 09/12/2013
Human Rights Campaign Names DTCC A "Best Place To Work" For A Second Straight Year
The Human Rights Campaign (HRC) has named The Depository Trust & Clearing Corporation (DTCC) to its “Best Places to Work” list for 2014 for lesbian, gay, bisexual and transgender (LGBT) employees, making it the second straight year DTCC has been named to the list.
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Date 09/12/2013
The Benefit Of Hindsight And The Promise Of Foresight: A Proposal For A Comprehensive Review Of Equity Market Structure - SEC Commissioner Michael S. Piwowar, U.S. Securities And Exchange Commission
Thank you Dan [Waters] for that kind introduction and the invitation to join you today. It is nice to be among such a large and distinguished group of market structure experts from both the private and public sectors. As a former academic researcher in the area of market microstructure, who has also spent time in the private sector and in government, this conference is a great setting for me to give my first public speech on equity market structure as an SEC Commissioner. Over the next several months, I plan to speak about each of the three parts of the U.S. Securities and Exchange Commission’s (SEC’s) core mission – protecting investors; maintaining fair, orderly, and efficient markets; and promoting capital formation. Today’s speech covers the second part of our mission – maintaining fair, orderly, and efficient markets – and in it I would like to share with you my views on the need for a comprehensive review of equity market structure. It is also fitting for me to be delivering a speech in a venue called “The Brewery” since my last name – “Piwowar” – literally means “Brewer” in Polish.
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Date 09/12/2013
CFTC Seeks Public Comment On Certification From Bloomberg SEF LLC To Implement Available-To-Trade Determinations For Certain Interest Rate And Credit Default Swaps - Public Comment Period Closes January 8, 2014
The Commodity Futures Trading Commission (CFTC or Commission) is requesting public comment on a certification from Bloomberg SEF LLC (Bloomberg) to implement available-to-trade determinations for certain interest rate and credit default swap contracts. Bloomberg submitted its available-to-trade determinations to the Commission on a self-certified basis pursuant to Commission regulations 37.10 and 40.6. If Bloomberg’s submission is deemed certified by operation of Commission regulation 40.6, such swap contracts, whether listed or offered by Bloomberg or any other designated contract market (DCM) or swap execution facility (SEF), will be subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA). All transactions involving swaps that are subject to the trade execution requirement generally must be executed on either a DCM or a SEF. In addition, to the extent that such transactions are executed on a SEF, they must be executed in accordance with the execution methods prescribed by Commission regulation 37.9(a)(2).
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Date 09/12/2013
SEC Names Sebastian Gomez Abero To Head Office Of Small Business Policy In The Division Of Corporation Finance
The Securities and Exchange Commission today announced that it has named Sebastian Gomez Abero as chief of the Office of Small Business Policy. The appointment is effective immediately.
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Date 09/12/2013
Statement Of CFTC Chairman Gary Gensler Before The Financial Stability Oversight Council
I want to thank Secretary Lew for his kind words.
Five years ago when President-elect Obama asked me to serve, the economy was in a free fall. Americans were paying for the crisis with their jobs, their pensions and their homes.
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Date 09/12/2013
CFTC: Federal Court In Austin, Texas Orders Australian Defendants To Pay Over $192 Million In Restitution And Fines For Forex Fraud
The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court default judgment Order awarding restitution for defrauded customers and civil monetary penalties of more than $192 million against Defendants Senen Pousa and Investment Intelligence Corporation (IIC) (d/b/a ProphetMax Managed FX) in connection with an off-exchange foreign currency (forex) fraud scheme in which Pousa and IIC defrauded over 960 clients in the United States and abroad of over $32 million.
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Date 09/12/2013
DealVector Launches InvestorLink, Providing Issuers And Collateral Managers With An Identity-Protected Channel To Communicate With Their Investors - Communication Channel Improves Liquidity And Speeds Execution Of Amendments, Waivers And Consents
DealVector, providers of the first secure electronic communication network for the fixed income and structured credit space, today announced the launch of InvestorLink to streamline communication in the structured credit markets. Created primarily for Issuers, Collateral Managers and Trustees, InvestorLink opens a direct communication channel between deal administrators and holders.
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Date 09/12/2013
FINRA Fines Oppenheimer $675,000 And Orders Restitution Of More Than $246,000 For Charging Unfair Prices In Municipal Securities Transactions And For Supervisory Violations - Head Trader Fined And Suspended
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co., Inc. $675,000 for charging unfair prices in municipal securities transactions and for failing to have an adequate supervisory system. FINRA also ordered Oppenheimer to pay more than $246,000 in restitution, plus interest, to customers who were charged unfair prices. In addition, FINRA fined Oppenheimer's head municipal securities trader, David Sirianni, $100,000, and suspended him for 60 days.
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