News Centre

SEC Fee Rate Advisory #4 For Fiscal Year 2014

Date 28/02/2014

Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2014 is not required.

BATS 1000 Index Rises 1.1% This Week

Date 28/02/2014

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) rose 238.21 points this week to close at 20,982.12 as of the 4 p.m. ET market close today.  

Preliminary Report On Foreign Holdings Of U.S. Securities At End-June 2013

Date 28/02/2014

Preliminary data from a survey of foreign portfolio holdings of U.S. securities at the end of June 2013 were released today on the Treasury website at http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx.  Final survey results, which will include additional detail as well as possible revisions to the preliminary data, will be reported on April 30, 2014.  The survey was undertaken jointly by Treasury, the Federal Reserve Bank of New York, and the Board of Governors of the Federal Reserve System.  The next survey will cover holdings at the end of June 2014; preliminary data are expected to be released by February 28, 2015.

MIAX Options Exchange: Amendment To The MIAX Options Regulatory Fee Beginning April 1, 2014

Date 28/02/2014

The MIAX Regulatory Circular, MIAX_RC_2014_09, refers to the MIAX Options Exchange fee amendment to the Options Regulatory Fee beginning April 1, 2014.

CFTC Commitments Of Traders Reports Update

Date 28/02/2014

The current reports for the week of February 25, 2014 are now available.

Nigerian Stock Exchange Weekly Report For The Week Ended 28 February 2014

Date 28/02/2014

A turnover of 1.809 billion shares worth N26.698 billion in 25,342 deals were traded this week by investors on the floor of The Exchange in contrast to a total of 6.973 billion shares valued at N24.439 billion that exchanged hands last week in 27,633 deals.

CFTC Obtains Default Judgment Against Altamont Global Partners LLC And John G. Wilkins For Commodity Pool Fraud, Misappropriation, And Making False Statements To National Futures Association - U.S. District Court In Florida Orders Defendants To Pay More Than $15.8 Million In CFTC Anti-Fraud Action

Date 28/02/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Gregory A. Presnell of the U.S. District Court for the Middle District of Florida entered a default judgment and permanent injunction Order against Defendants Altamont Global Partners LLC (AGP) of Longwood, Florida, and its owner, John G. Wilkins, formerly of Chuluota, Florida. The Order requires AGP to pay $10,969,843 in disgorgement and Wilkins to pay $1,214,902 in disgorgement and a $3,644,706 civil monetary penalty. The Order also imposes permanent trading and registration bans against them and prohibits them from violating the Commodity Exchange Act and a CFTC regulation, as charged.

Direct Edge Trading Notice #14-08: EDGA & EDGX Fee Schedule Changes

Date 28/02/2014

Effective Monday, March 3, 2014, EDGA ExchangeSM (EDGA®) and EDGX ExchangeSM (EDGX®) will make the following fee schedule changes, pending filing with the Securities and Exchange Commission (SEC).

MIAX Options Exchange: MIAX Options - Changes To Market Maker Transaction Fees And Priority Customer Rebates Effective March 1, 2014

Date 28/02/2014

The MIAX Regulatory Circular, MIAX_RC_2014_08, refers to the MIAX Options Exchange fee amendments to the following beginning March 1, 2014:

• Market Maker Transaction Fees
• Priority Customer Rebate Program

National Stock Exchange: Pricing Change For Orders Routed And Executed At Away Trading Centers

Date 28/02/2014

National Stock Exchange, Inc. (“NSX” or the “Exchange”) is issuing this Information Circular to provide notice to Exchange Equity Trading Permit (“ETP”) Holders that, subject to review by the Securities and Exchange Commission, the Exchange is reducing the fee assessed for orders routed and executed at away trading centers (“Orders Routed Away”).