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ASIC Goes Live With New Surveillance System – First Derivatives

Date 24/11/2013

First Derivatives (AIM: FDP.L, ESM:FDP.I), a leading provider of software and consulting services to global investment banks, brokers, hedge funds and exchanges, today announces the successful implementation of its market surveillance system at the Australian Securities and Investments Commission (ASIC).
The UK Financial Conduct Authority Launches Review Into Price Comparison Websites

Date 24/11/2013

Price comparison websites (PCWs) are a valuable tool for shopping around, but consumers may not be getting the best deal if they focus solely on price instead of the level of insurance cover.
Remarks At The American Bar Association Business Law Section’s Federal Regulation Of Securities Committee Fall Meeting, SEC Commissioner Kara M. Stein, Washington, DC, Nov. 22, 2013

Date 23/11/2013

Thank you, Cathy [Dixon], for that kind introduction. And, thank you Federal Regulation of Securities Committee for inviting me here today. I’m pleased to join you as the one of the newest Commissioners of the Securities and Exchange Commission, a place where I know so many of you have worked over the years.
Deutsche Börse: Unscheduled Component Changes In MDAX And SDAX

Date 22/11/2013

Deutsche Börse has announced that GSW Immobilien AG will be replaced by SGL Carbon SE in MDAX. Due to the takeover by Deutsche Wohnen AG, the free float of GSW Immobilien AG has dropped below 10 percent, making it ineligible for inclusion in the index.
BATS 1000 Index Gains 0.1% This Week

Date 22/11/2013

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) rose 22.67 points, or 0.1%, this week to close at 20,306.15 as of the 4 p.m. ET market close today.

Remarks To The Los Angeles County Bar Association Securities Regulation Seminar, SEC Commissioner Michael S. Piwowar, Los Angeles, California, Nov. 22, 2013

Date 22/11/2013

Good afternoon and thank you, John [Hartigan], for that wonderful introduction. I am glad to be with you today and appreciate everyone’s willingness to re-schedule this event in light of the federal government shutdown last month. As many of you know, my colleague Commissioner Dan Gallagher was originally scheduled to deliver this luncheon address, but was not available on the new date. I must admit I am still puzzled by the fact that the organizers of a conference that attracts such a distinguished group of securities lawyers would turn to me – the only non-lawyer member of the Commission – to join you instead. Seriously, I am extremely pleased to be here to share my thoughts.
CFTC Commitments Of Traders Reports Update

Date 22/11/2013

The current reports for the week of November 19, 2013 are now available.
NASDAQ Private Market Expands Senior Leadership Team - Carine Schneider to Head Equity Management Solutions - Cyndi Rodriguez Appointed Chief Legal Officer

Date 22/11/2013

NASDAQ Private Market, LLC (NPM) announced today two new appointments to its senior leadership team: Carine Schneider will head NPM's Equity Management Solutions and Cyndi Rodriguez will serve as Chief Legal Officer. Both will be based in San Francisco. NPM will be the new capital market for leading private companies, bringing unprecedented efficiency, transparency and scale to the marketplace.
CME Group Announces 2014 Annual Meeting Date

Date 22/11/2013

CME Group (Nasdaq: CME) today announced that its 2014 Annual Meeting of Shareholders will be held at 3:30 p.m., Central Time, on Wednesday, May 21, 2014, in the Auditorium at CME Group, located at 20 South Wacker Drive, Chicago, Illinois.
Federal Reserve Governor Daniel K. Tarullo, At The Americans For Financial Reform And Economic Policy Institute Conference, Washington, D.C. November 22, 2013, Shadow Banking And Systemic Risk Regulation

Date 22/11/2013

As illustrated, quite literally, by a chart that New York Fed staff produced a few years ago, the term "shadow banking system" encompasses a wide variety of institutions that engage in credit intermediation and maturity transformation outside the insured depository system. In my remarks today, I want to concentrate on short-term wholesale funding and, especially, the pre-crisis explosion in the creation of assets that were thought to be "cash equivalents." Such assets were held by a range of highly risk-averse investors, who were in many cases not fully cognizant that the "cash equivalents" in their portfolios were liabilities of shadow banks--the institutions depicted in the memorable graphic.