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CFTC Announces Mutual Acceptance Of Approved Legal Entity Identifiers

Date 30/10/2013

The U.S. Commodity Futures Trading Commission (CFTC) announced in a Notice posted on the CFTC.gov website on October 30, 2013, that registered entities and swap counterparties subject to CFTC swap data recordkeeping and reporting regulations concerning Legal Entity Identifiers (LEIs) can now comply with those regulations by using any LEI issued by an LEI provider endorsed by the Regulatory Oversight Committee (ROC) of the global LEI system. This includes the CFTC Interim Compliant Identifiers (CICIs) issued by the CICI Utility operated by DTCC-SWIFT, the provider of LEIs designated by CFTC.
MIAX Options Exchange Extension Of The Priority Customer Rebate Program To November 30, 2013

Date 30/10/2013

The MIAX Regulatory Circular, MIAX_RC_2013-61, refers to the extension of the MIAX Options Exchange Priority Customer Rebate Program (the “Program”) to November 30, 2013. The MIAX Options Fee Schedule is posted on the MIAX website at http://www.miaxoptions.com/content/fees.
CFTC Commitments Of Traders Reports Update

Date 30/10/2013

The current reports for the week of October 15, 2013 are now available.
Amendment To The MIAX Market Maker Transaction Fees Beginning November 1, 2013

Date 30/10/2013

The MIAX Regulatory Circular, MIAX_RC_2013-62, refers to the MIAX Options Exchange amendment to the MIAX Market Maker transaction fees beginning Friday, November 1, 2013. The MIAX Options Fee Schedule is posted on the MIAX website at http://www.miaxoptions.com/content/fees.
CFTC’s Division Of Market Oversight Extends Time-Limited No-Action Relief To Australian-Based Trading Platform Yieldbroker Pty Limited

Date 30/10/2013

The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced the issuance of a no-action letter extending time-limited relief for Australian-based trading platform Yieldbroker Pty Limited (Yieldbroker). DMO will not recommend that the Commission take enforcement action against Yieldbroker for failure to register as a swap execution facility (SEF) under section 5h(a)(1) of the Commodity Exchange Act (Act) or Commission Regulation 37.3(a)(1), or against any market participants for use of, or other relationships with, Yieldbroker, for an additional period expiring on December 1, 2013. This letter extends the time-limited relief previously provided by DMO in CFTC Letter No. 13-59, which was issued on September 30, 2013.

SEC Rewards Whistleblower With $150,000 Payout

Date 30/10/2013

The Securities and Exchange Commission today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors.
Opening Statement Of CFTC Chairman Gary Gensler: Open Meeting To Consider Customer Protection Reforms

Date 30/10/2013

Good morning. This meeting will come to order. This is a public meeting of the Commodity Futures Trading Commission (CFTC). I’d like to welcome members of the public, market participants and members of the media, as well as those listening to the meeting on the phone or watching the webcast.
IntercontinentalExchange Update On NYSE Euronext Acquisition

Date 30/10/2013

IntercontinentalExchange (NYSE: ICE), a leading operator of global markets and clearing houses, today provided the following statement and timeline for completing its acquisition of NYSE Euronext.
CME Group To Host Sixth Annual Global Financial Leadership Conference

Date 30/10/2013

CME Group will host the sixth annual Global Financial Leadership Conference (GFLC) Nov. 18-20, 2013, at the Ritz-Carlton Beach Resort in Naples, Florida. The GFLC is an exclusive event that brings together decision-makers from the world's leading financial institutions to discuss emerging geopolitical trends, debate critical economic issues and share perspectives on future developments in the financial marketplace.
“The Law”Statement Of CFTC Commissioner Bart Chilton Regarding Customer Protections

Date 30/10/2013

Each of us took an oath to uphold the law. Sometimes that’s pretty easy, other times, not so much. As rule writers, many times the law allows us a bit of discretion, some latitude. Other times, it’s pretty clear what we are supposed to do. On these customer protections, I think the key components are straightforward. We are supposed to ensure that customers’ money is protected. Our law mandates this: full protection, complete protection, 100% of customer money, 100% of the time.