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SEC, CFTC Seeking Public Comment On Definitions And Regulation Of Mixed Swaps

Date 13/08/2010

The Securities and Exchange Commission and the Commodity Futures Trading Commission today published a joint advance notice of proposed rulemaking that requests public comment to assist the agencies in further defining certain key terms and prescribing regulations regarding "mixed swaps" as required by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Securities Firms Elect Seven Industry Governors To FINRA Board Of Governors - Approve Seven Proxy Proposals

Date 13/08/2010

The Financial Industry Regulatory Authority (FINRA) today announced the results of voting at its 2010 Annual Meeting. In accordance with FINRA By-Laws, firms elected seven Governors of which three will represent large firms, three will represent small firms and one will represent mid-sized firms. Results also indicate that firms supported seven non-binding proxy proposals.
SEC, CFTC To Host August 20 Roundtable On Clearing And Listing Of Swaps And Security-Based Swaps

Date 13/08/2010

The Securities and Exchange Commission and Commodity Futures Trading Commission staffs will hold a public roundtable on August 20 to discuss issues related to governance and conflicts of interest in the clearing and listing of swaps and security-based swaps.
CBOE Stock Exchange (CBSX) Offers New Taker Rebates On Select Group Of Securities

Date 13/08/2010

The CBOE Stock Exchange, LLC (CBSX) on Monday, August 16 will institute new pricing in 24 of the most-active, lower-priced securities traded on CBSX. The pricing will pay "takers" a substantial rebate to remove liquidity when the security's price is above one dollar, creating an incentive for customers to route their orders to CBSX.
CME Group Inc. Declares Quarterly Dividend

Date 13/08/2010

CME Group, the world's leading and most diverse derivatives marketplace, today announced a third-quarter dividend of $1.15 per share, payable September 27, 2010, to shareholders of record September 10, 2010.

BATS Gets SEC Approval For 2nd Stock Exchange In US, Sets October Launch - New BYX Exchange Will Utilize Same Proven World-Class Technology, Location And Connectivity As Existing BZX Exchange, With Added Flexibility In Pricing

Date 13/08/2010

BATS Global Markets, an innovative global financial markets technology company, received approval today from the US Securities and Exchange Commission to operate a second equities exchange and expects to launch the market in approximately 60 days.
CBOE Stock Exchange (CBSX) Sets Record Daily Volume

Date 13/08/2010

The CBOE Stock Exchange, LLC (CBSX) today reported that trading volume on Thursday, August 12 was a record for any day at CBSX. More than 63.7 million shares changed hands, surpassing the previous daily record of 59.8 million shares traded on July 23, 2010.
Securities Regulators Publish Updated Best Practices For Firms Serving Senior Investors

Date 13/08/2010

The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and North American Securities Administrators Association (NASAA) today updated a joint report that outlines practices being used by financial services firms to strengthen their policies and procedures for serving senior investors as they approach and begin retirement.
Istanbul Stock Exchange “Public Disclosure Platform” Is Available In English

Date 13/08/2010

Istanbul Stock Exchange (ISE) completed the first phase of the English version of the Public Disclosure Platform (PDP), an electronic system managed by the ISE, through which electronically signed notifications required by the capital markets and ISE regulations are publicly disclosed.
HKEx: Senior Executive Change In Listing Division

Date 13/08/2010

Hong Kong Exchanges and Clearing Limited (HKEx) announced today (Friday) that Grace Kan is succeeding Bonnie Chan, who will leave the Listing Division on 27 August 2010, to lead the IPO Transactions Department.