News Centre

OCC Takes Silver At The FCS Portfolio Awards In The Best Annual Report Category

Date 21/05/2013

OCC announced today that its 2011 annual report took Silver (the only award given) in the Best Annual Report category at the 2013 FCS Portfolio Awards presented by the Financial Communications Society in New York City on May 16, 2013.

LPL To Pay $9 Million For Systemic Email Failures And For Making Misstatements To FINRA - LPL Fined $7.5 Million And Ordered To Establish $1.5 Million Fund To Compensate Affected Customers

Date 21/05/2013

The Financial Industry Regulatory Authority (FINRA) announced today that it fined LPL Financial LLC (LPL) $7.5 million for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. Additionally, LPL made material misstatements to FINRA during its investigation of the firm's email failures. LPL was also ordered to establish a $1.5 million fund to compensate brokerage customer claimants potentially affected by its failure to produce email.

Testimony Of Stephen O’Connor, Chairman International Swaps and Derivatives Association Before The US House Of Representatives Committee On Agriculture, May 21, 2013

Date 21/05/2013

Chairman Lucas, Ranking Member Peterson and Members of the Committee:Thank you for the opportunity to testify today.

Survey: Review Of The European System Of Financial Supervision

Date 21/05/2013

European Supervisory Authorities

(The European Banking Authority, the European Securities and Markets Authority and the European Insurance and Occupational Pensions Authority)

Stakeholder Opinion Questionnaires

The European Parliament has commissioned two studies reviewing the European System of Financial Supervision (ESFS). The first study (Part 1) deals with the work of the European Supervisory Authorities (European Banking Authority, European Insurance and Occupational Pensions Authority and European Securities and Markets Authority). The second study (Part 2) addresses the work of the European Systemic Risk Board (ESRB). These studies will inform the deliberations of the European Parliament, in particular its Committee on Economic and Monetary Affairs’ (ECON). Mazars has been commissioned to write the study on the European Supervisory Authorities (ESAs). 

NYSE Euronext To Reinforce The Role Of The Capital Markets As A Financing Source For Portuguese Companies

Date 21/05/2013

NYSE Euronext is committed to involving the ecosystem in the development of initiatives that present the stock market as an alternative companies can and should used more and more, especially SMEs, as a means to meet their needs for growth and financing.

MIAX - Attributable Orders Available Wednesday, May 29

Date 21/05/2013

Please be advised the MIAX Options Exchange will introduce Attributable Orders beginning Wednesday, May 29, 2013.

The Important Role Of Immigrants In Our Economy By SEC Commissioner Luis A. Aguilar Remarks At The 2013 Annual Gala Georgia Hispanic Chamber Of Commerce, Atlanta, Georgia

Date 21/05/2013

Thank you for that kind introduction. I am glad to be back in Atlanta, and I am delighted to be at the Georgia Hispanic Chamber of Commerce’s (“GHCC”) 2013 Annual Awards Gala. Before I begin my remarks, let me issue the standard disclaimer that the views I express today are my own, and do not necessarily reflect the views of the U.S. Securities and Exchange Commission (“SEC” or “Commission”), my fellow Commissioners, or members of the staff.

Testimony Of U.S. Treasury Secretary Jacob J. Lew Before The Senate Committee On Banking, Housing, And Urban Affairs On The Financial Stability Oversight Council (FSOC) Annual Report To Congress

Date 21/05/2013

Chairman Johnson, Ranking Member Crapo, and members of the Committee, thank you for the opportunity to testify today regarding the Financial Stability Oversight Council’s (Council) 2013 annual report.

Direct Edge Trading Notice #13-19: Introducing EdgeRisk Ports

Date 21/05/2013

Direct Edge^® announces EdgeRisk Ports^SM, a new risk mitigation service offering Members and non-Members dedicated logical test ports to evaluate the readiness of their systems that connect to EDGA Exchange (EDGA^®) and EDGX Exchange (EDGX^®).  Pending filing with the Securities and Exchange Commission (SEC), the new service will be available in June 2013.  

MEPs To Debate Banking Supervision

Date 21/05/2013

At 15.00 MEPs will discuss draft legislation on the EU single banking supervision mechanism with Commissioner Michel Barnier and Irish finance minister Brian Hayes. MEPs are expected to use this plenary debate to stress that accountability rules must match the supervisory powers created or transferred to EU level.