News Centre

Shanghai Stock Exchange Promotes Regulatory Transformation To Activate Blue Chip Market

Date 07/02/2014

The meeting of the Shanghai Stock Exchange (SSE) Party Committee, presided over by Gui Minjie, SSE Party Chief and Governor, was held on the afternoon of January 27, in a bid to publicize the spirit of the 2014 National Conference of Securities and Futures Regulatory System (the Conference), and put forward specified requirements for the SSE to implement the spirit of the Conference, meet the needs for regulatory transformation, and promote transformational development of the SSE.

NASDAQ OMX January 2014 Volumes

Date 07/02/2014

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for January 2014, on its investor relations website. A data sheet showing the monthly volumes can be found at: http://ir.nasdaqomx.com/monthly-reporting/

MGEX Shatters All-Time Daily Exchange And Electronic Volume Records

Date 07/02/2014

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), today announced that preliminary trading volume reached 26,404 futures and options contracts, breaking the previous daily Exchange volume record by nearly 12 percent. The previous volume record had been set on April 25,2005.

ISDA Launches SwapsInfo Website

Date 06/02/2014

The International Swaps and Derivatives Association, Inc. (ISDA) today announced the launch of ISDA SwapsInfo (www.swapsinfo.org).

Remarks Before Trader Forum 2014 Equity Trading Summit, SEC Commissioner Kara M. Stein, Grand Hyatt, New York City

Date 06/02/2014

I am joining you today to speak about something we all care deeply about: our capital markets.  Just a few miles south of here, over two hundred years ago, a collection of traders and financiers came together to lay the foundation for what became the crown jewel of American capitalism.  The Buttonwood Agreement, which led to the formation of the New York Stock Exchange, helped forge a new era of economic growth for a young country, and gave birth to New York City as the world’s financial center.  

NZX January 2014 Shareholder Metrics

Date 06/02/2014

Please find attached Shareholder Metrics for January 2014.

Brown Rudnick Promotes Four Associates In London To Partners

Date 06/02/2014

Brown Rudnick LLP, a leading international law firm, is pleased to announce that it has promoted four Associates in its London office to Partners. They are: Jean-Francois Le Gal, Roger Kennell, Henry Kikoyoand Christian Toms.

Richard G. Ketchum, FINRA Chairman And Chief Executive Officer - National Association Of College And University Business Officers New York, NY, February 6, 2014

Date 06/02/2014

Thank you, Bob [Shea], for that introduction. I am honored to be here and I appreciate your interest in how FINRA protects America's financial system and investors.

I want to talk to you today about two roles FINRA plays that are key to our mission of investor protection and market integrity—and that intersect with your role as stewards of your institutions' financial well-being. Since some of you may not be familiar with FINRA, I want to start by telling you who we are. FINRA is the Financial Industry Regulatory Authority—an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA regulates about 4,100 brokerage firms and about 635,000 registered securities representatives. We are out there on the ground and in the field every single day—in offices all across the country—overseeing virtually every aspect of the securities business.

CFTC’s Division Of Clearing and Risk Issues No-Action Letter For ASX Clear (Futures) Pty Limited

Date 06/02/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Clearing and Risk (DCR) today issued a time-limited no-action letter stating that DCR will not recommend that the Commission take enforcement action against the Australian-based clearing organization, ASX Clear (Futures) Pty Limited (ASXCLF), for failing to register as a derivatives clearing organization (DCO) under Section 5b(a) of the Commodity Exchange Act (CEA).

BATS Global Markets, FINRA Enter Regulatory Service Agreement - With The Addition Of BATS, FINRA Will Conduct Cross-Market Surveillance For Nearly 100 Percent Of U.S. Equities Trading

Date 06/02/2014

BATS Global Markets, Inc. (BATS) has signed an agreement with the Financial Industry Regulatory Authority (FINRA), the independent, non-governmental regulator for all securities firms doing business with the public in the United States, to provide cross-market surveillance services to BATS' four stock exchanges- BZX, BYX, EDGX and EDGA, along with certain other regulatory services.