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Keynote Address At Columbia Law School Conference On Current Issues In Securities Regulation: The ‘Hot’ Topics SEC Commissioner Kara M. Stein, Columbia Law School, New York, NY

Date 21/11/2014

Thank you, John [Coffee], for your kind introduction.

Before I begin my remarks, I am required to tell you that the views I am expressing today are my own and do not necessarily reflect those of the Commission, my fellow Commissioners, or the staff of the Commission.

CFTC Commitments Of Traders Reports Update

Date 21/11/2014

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Direct Edge Trading Notice #14-54: BATS Releases Direct Edge Integration Port Attribute Matrix

Date 21/11/2014

Please be advised that all sessions created in the new EDGA and EDGX production environments in the Secaucus NY5 data center have been created with all port attributes set to the standard BATS default port setting. As such, after successfully certifying on the new EDGA and EDGX certification platforms, Members will need to perform a production port attribute audit to be sure their NY5 order entry sessions are configured in line with production trading objectives.

Nigerian Stock Exchange Weekly Market Report For Week Ended 21 November 2014

Date 21/11/2014

A turnover of 1.359 billion shares worth N14.565 billion in 20,844 deals were traded this week by investors on the floor of The Exchange in contrast to a total of 1.850 billion shares valued at N30.863 billion that exchanged hands last week in 27,397 deals.

FIA Elects Two New Board Members

Date 21/11/2014

FIA today announced the election of two new members to its board of directors: Tom Kadlec, president of ADM Investor Services, and George Simonetti, managing director and head of Markets Clearing and Futures Execution in Wells Fargo Securities’ Markets Division.

SEC Charges CEO And Close Friend With Insider Trading Ahead Of Company Sale

Date 21/11/2014

The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with confidential details about his New Jersey-based company’s nonpublic merger discussions that enabled the friend to make $164,260 in trading profits after it was sold to a private equity firm.

TOM MTF statistics Week 47 2014

Date 21/11/2014

Click here to download the weekly statistics update of TOM MTF for week 47, 2014.

The FCA’s New Competition Powers: What Do They Mean For The Financial Services Industry? - Speech By Deb Jones, Director Of Competition At The FCA, At A Scottish Financial Enterprise Lunch, Hosted By Maclay Murray & Spens LLP, Edinburgh.

Date 21/11/2014

Introduction 

I want to thank Scottish Financial Enterprise for inviting me here to speak today and Maclay and Murray & Spens for their hospitality. I’m here as Director of Competition at the Financial Conduct Authority. Although I’m based down in London in the Competition Department, I work just as closely with colleagues in Edinburgh as those in Canary Wharf.

Deirdre Somers, CEO Of The Irish Stock Exchange, Talks About Leadership To Executive MBA students In University College Cork

Date 21/11/2014

Deirdre Somers, the CEO of the Irish Stock Exchange (ISE), has today returned to her alma mater, University College Cork (UCC), to deliver a guest lecture on leadership to students of UCC’s Executive MBA programme.

OECD Russia Corporate Governance Roundtable

Date 21/11/2014

The last of OECD Russia"s three annual corporate governance roundtables took place on 19 November.