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NZX Ralec Judgment – A “Nil-All Draw”

Date 16/11/2016

NZX welcomes the judgment released today by the High Court of Wellington in respect of the long-running NZX Ralec litigation. The litigation related to the acquisition of the Clear Grain Exchange (Clear) from Ralec Commodities Pty Ltd (Ralec) made by the previous management of NZX in 2009.
Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum, Thomas Gira, FINRA Executive Vice President, Market Regulation

Date 16/11/2016

Good afternoon. Thanks John [D’Antona], for that introduction, and thanks to MarketsMedia for the invitation to talk with you today.
Bermuda Stock Exchange Joins WFE Board

Date 16/11/2016

The Bermuda Stock Exchange (BSX) is pleased to announce that it has been appointed to the Board of Directors of the World Federation of Exchanges (WFE), the global association that represents more than 200 market infrastructure providers including exchanges and central counterparty clearing houses (CCPs).
NZX Limited (“NZX”) – Trading Halt Of Securities

Date 15/11/2016

NZX Operations (“NZXO”) advises that a trading halt in NZX Limited ordinary shares (“NZX”) has been approved. This follows an application made by NZX to the Special Division of the NZ Markets Disciplinary Tribunal (“NZMDT”).
Statement On The Joint Industry Plan On tThe Consolidated Audit Trail (“CAT”), SEC Commissioner Kara M. Stein, Nov. 15, 2016

Date 15/11/2016

I would like to thank the staff for all of their work on this Order. There was a very large cross-divisional team who worked on this matter. But in particular, I would like to thank David Hsu, Jennifer Colihan, Amy Edwards, Claire O’Sullivan, Rebekah Liu, John Lee, Ted Uliassi, Leigh Duffy, Meridith Mitchell, Tracey Hardin, Maureen Johansen, Daniel Matro, and Devin Ryan. Also, I would like to thank Garry Goldsholle and David Shillman for heading up this effort. In addition, I want to thank all of the staff who worked on this issue from the Division of Trading and Markets, DERA, the Office of the General Counsel, the Office of Compliance Inspections and Examinations, the Division of Enforcement, and the Chief Information Security Officer.

Statement At Open Meeting: Order Approving The Consolidated Audit Trail National Market System Plan, SEC Chair Mary Jo White, Nov. 15, 2016

Date 15/11/2016

Good afternoon. This is an open meeting of the U.S. Securities and Exchange Commission on November 15, 2016, under the Government in the Sunshine Act. The Commission today is positioned to take significant action toward the reality of a consolidated audit trail (CAT) that will greatly advance the ability of regulators to oversee today’s sophisticated and constantly evolving securities markets. Specifically, the Commission will consider a staff recommendation to approve the national market system (NMS) Plan submitted jointly by the self-regulatory organizations (SROs), which the Commission voted to publish for public comment this past April,[1] to create, implement and maintain the consolidated audit trail.
The MiG Report - TSX - TSX Venture Exchange

Date 15/11/2016

Please click here for the October 2016 MiG Report.
SEC Approves Plan To Create Consolidated Audit Trail

Date 15/11/2016

The Securities and Exchange Commission today voted to approve a national market system (NMS) plan to create a single, comprehensive database known as the consolidated audit trail (CAT) that will enable regulators to more efficiently and thoroughly track all trading activity in the U.S. equity and options markets.
Statement At Open Meeting Regarding The Consolidated Audit Trail NMS Plan, SEC Commissioner Michael S. Piwowar, Nov. 15, 2016

Date 15/11/2016

Thank you, Chair White. Let me join my colleagues in acknowledging the exemplary dedication of the Commission staff on this project.
ISDA Announces New Head Of Non-cleared Margin Initiative

Date 15/11/2016

The International Swaps and Derivatives Association, Inc. (ISDA) today announced the appointment of Tara Kruse as head of ISDA’s margin for non-cleared derivatives implementation effort. She replaces Mary Johannes, who is leaving the Association to pursue other interests.