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SIFMA Recommends Early Market Close On December 24 And Full Market Close On December 25 For Trading Of US Dollar-Denominated Fixed-Income Securities In the US In Observance Of The Christmas Holiday - SIFMA Recommends A Market Open On December 26

Date 10/12/2014

IFMA has confirmed its previous recommendations for an early close at 2:00 p.m., EST, on Wednesday, December 24 and a full market close on Thursday, December 25 and for the trading of US dollar-denominated fixed-income securities in the US in observance of the Christmas Holiday. SIFMA's holiday recommendations are not impacted by the recent Executive Order that names December 26 a holiday for most federal workers.  SIFMA is recommending, consistent with past practice in such circumstances, that the market open on Friday, December 26.  

Remarks To The ICI 2014 Securities Law Developments Conference, Norm Champ, Director, SEC Division Of Investment Management, Washington, D.C., Dec. 10, 2014

Date 10/12/2014

Introduction

Good morning everyone, and thank you, David, for that kind introduction and for inviting me to speak here today. Before I begin, let me remind you that the views I express are my own and do not necessarily reflect the views of the Commission, any of the Commissioners, or any other colleague on the staff of the Commission.

TradingScreen And Mainstream BPO Join Forces To Offer Full Straight Through Processing Fund Platform For Asia Pacific Managers

Date 10/12/2014

TradingScreen Inc., the leading independent provider of liquidity, trading and investment technology via SaaS, and MainstreamBPO Pty Ltd, a leading independent fund administrator in Asia-Pacific, have signed a partnership agreement to connect their systems to provide their common clients with front to back fund servicing.

FINRA Names New Floor Member Governor

Date 10/12/2014

The Financial Industry Regulatory Authority (FINRA) has named Joseph M. Mecane as the Floor Member Governor on FINRA's Board of Governors. Mr. Mecane is currently a Managing Director of Electronic Equities and Credit Products at Barclays. Mr. Mecane recently joined Barclays to assist in the further development of the firm's electronic product offering, with a particular focus on the equities and credit markets.

CBOE Enters Into Agreement With MSCI Inc. To List Index Options

Date 10/12/2014

• In U.S., MSCI Index Options to Be Solely Listed on CBOE
• Options Expected to Launch in First Quarter of 2015

CFTC Swaps Report Update

Date 10/12/2014

CFTC's Weekly Swaps Report has been updated, and is now available.

SEC Names Karol Pollock To Lead Exam Program In Los Angeles Office

Date 10/12/2014

The Securities and Exchange Commission today announced that Karol L.K. Pollock has been named the new leader of the examination program in the Los Angeles Regional Office.

NZX Announces Regulation Initiatives

Date 10/12/2014

NZX today announced a number of governance and process initiatives that will improve both its communication of regulatory decisions and processes and its arrangements for handling perceived or potential conflicts.

Trading Technologies Wins “Prop Traders’ ISV Of The Year” At FOW International Awards - Proprietary Traders Select X_TRADER® As The Most Innovative And Useful Technology For Their Needs

Date 10/12/2014

Trading Technologies International, Inc. (TT), a provider of high-performance professional trading software, was named “Prop Traders’ ISV of the Year” by FOW magazine at the FOW International Awards yesterday in London. TT was selected for this award by proprietary traders who voted inFOW’s annual proprietary trading survey.

Direct Edge Trading Notice #14-60: EDGA And EDGX Post-Migration Communications

Date 10/12/2014

As part of the BATS/Direct Edge integration, effective upon the migration to the BATS trading platform on January 12, 2015, the Direct Edge website will be retired. Therefore, starting January 12th, all trading, product and pricing information for the EDGA Exchange and the EDGX Exchange will be available at www.batstrading.com and www.bats.com.