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ASX Compliance Monthly Activity Report – October 2014

Date 06/11/2014

New listings for the month were Anatara Life sciences Ltd (ANR), Australian Dairy Farms Trust (AHF), Ellerston Global Investments Limited (EGI), GPT Metro Office Fund (GMF), Huon Aquaculture Group Limited (HUO), Regis Healthcare Limited (REG), Rewardle Holdings Limited (RXH), RF Active (RFF), Think Childcare and Education Limited (TNK), and WEA Finance LLC and Westfield UK & Europe Finance PLC (WEF).

September 2014 FIF Market Share Report - Executive Summary

Date 06/11/2014

U.S. Equities Market Share

• Share volumes traded across Tape A, B, and C totaled 127.7 billion shares, an increase of 16.1% monthly, and an increase of4% annually.
• NYSE-listed securities share volume was 66.9 billion shares, an increase of 15% monthly and increase of 1% annually.
• Share volume in NASDAQ-listed securities was 39.7 billion shares, an 18.6% monthly increase and 12.5% annual increase.

SEC Charges California Lawyer And Two Massachusetts Men Behind Scheme To Manipulate Stock Of Sports Ticket Broker

Date 06/11/2014

The Securities and Exchange Commission today charged an attorney in Orange County, Calif., and two men in Massachusetts behind a pump-and-dump scheme that defrauded investors in a Boston-based ticket brokering business.

September 2014 FIF Market Dynamics Report - Executive Summary

Date 06/11/2014

OTC Market Share of NMS Securities

• In September 2014, off-exchange trading accounted for 36.7% of the shares traded in NMS Equity Securities, a decrease of 0.4% compared to last month.

Options Group Announces That Bob Flohr Has Joined As Senior Advisor

Date 06/11/2014

Options Group, a leading talent acquisition and management consulting firm, is pleased to announce that Bob Flohr has agreed to become Senior Advisor.  He will provide senior relationship management for the firm's key global accounts and assist in the continued development of the firm's intelligence-based products and services.  Additionally, he will lead in the development of a Board of Directors advisory practice.  Bob has been affiliated with Options Group for over 15 years in a variety of roles, including a period as Chairman. 

FIF Capacity Statistics For September 2014: Four New Record 1 Second Peaks - SIAC OPRA, UTP UQDF, MIAX-TOM, BATS Options MCASTPITCH AGG

Date 06/11/2014

This month’s bulletin from the Financial Information Forum (FIF) finds that SIAC OPRAwas up 14% to 8,445,263 mps over the 1 second interval

Federal Reserve Governor Jerome H. Powell, At The "The New International Financial System: Analyzing The Cumulative Impact Of Regulatory Reform", 17th Annual International Banking Conference, Chicago, Illinois, November 6, 2014, A Financial System Perspective On Central Clearing Of Derivatives

Date 06/11/2014

Thank you for the opportunity to address the important topic of how the financial system and its regulation have evolved in response to the global financial crisis. I will focus my remarks on the global initiative to expand central clearing of over-the-counter (OTC) derivatives. While we have made significant progress in enlisting central clearing to reduce systemic risks, I will argue that there is a good deal more to do to ensure that the reforms achieve their potential and minimize the possibility of unintended and undesirable consequences.

CFTC Releases Annual Enforcement Results For Fiscal Year 2014 - Agency Obtained A Record $3.27 Billion In Monetary Sanctions

Date 06/11/2014

The U.S. Commodity Futures Trading Commission (CFTC) today reported on the agency’s enforcement results for fiscal year 2014. The CFTC obtained a record $3.27 billion in monetary sanctions imposed against companies and individuals. The CFTC filed 67 new enforcement actions while continuing to devote significant resources to litigating a host of complex cases filed in prior years. A number of those litigations reached successful resolutions, either through settlement, the granting of summary judgment, or a finding of liability after trial.

CBOE Futures Exchange To Launch CBOE/CBOT 10-Year U.S. Treasury Note Volatility Index Futures Next Week - VXTYN Futures Can Provide Hedge Against Interest Rate Volatility

Date 06/11/2014

CBOE Futures ExchangeSM (CFE®) confirmed today that it will launch futures trading on the CBOE/CBOT 10-year U.S. Treasury Note Volatility IndexSM (ticker symbol: VXTYN) next week, on Thursday, November 13, 2014.

CME Group Announces Dr. Ben S. Bernanke As The 10th Annual Melamed-Arditti Innovation Award Recipient

Date 06/11/2014

CME Group's Center for Innovation announced today that Dr. Ben S. Bernanke is the 2014 CME Group Melamed-Arditti Innovation Award recipient. Bernanke served two terms as chairman of the Board of Governors of the Federal Reserve System from 2006-2014 and leveraged his deep knowledge and academic experience to help create a blueprint for navigating the largest financial crisis of our time.  CME Group will present the award at the seventh annual Global Financial Leadership Conference in Naples, Florida on Tuesday, November 18.