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ASIC Review Prompts City Index Australia Into Enforceable Undertaking

Date 10/04/2013

ASIC has accepted an enforceable undertaking (EU) from City Index Australia Pty Ltd (CIA) following an ASIC surveillance which found deficiencies in its client money handling practices.
NYSE Group Inc. Issues Short Interest Report

Date 09/04/2013

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of March 28, 2013.
NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date March 28, 2013

Date 09/04/2013

At the end of the settlement date of March 28, 2013, short interest in 2,120 NASDAQ Global Market^SMsecurities totaled 7,144,598,516 shares compared with 7,278,906,126 shares in 2,120 Global Market issues reported for the prior settlement date of March 15, 2013. The end-of-March short interest represents 4.34 days average daily NASDAQ Global Market share volume for the reporting period, compared with 4.24 days for the prior reporting period.
NYSE MKT Issues Short Interest Report

Date 09/04/2013

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of March 28, 2013.
Statement By CFTC Commissioner Scott O’Malia - Staff No-Action Letters Regarding Data Reporting Rules (Parts 43, 45 & 46)

Date 09/04/2013

Between Friday April 5^th and today, Commission staff issued three no-action letters in connection with its swap reporting requirements for trade options by end users, swaps transactions between inter-affiliates and reporting obligations for both financial and non-financial (end users) entities under Parts 43 (Real Time Reporting), 45 (Regulatory Reporting) and 46 (Historic Swap Reporting) of the Commission’s regulations.The trade option and inter-affiliate exemptions provided relief from reporting obligations under Parts 45 and 46. Both the trade option and inter-affiliate exemptions are for an indefinite period of time. The no-action letter issued today provides staggered dates of relief from Parts 43, 45 and 46 reporting for swaps by both financial and non-financial entities depending on the product at issue. While I support relief to provide end users with adequate time to comply with the rules, I am troubled by the arbitrary and ad-hoc manner in which this relief was provided. The application of date, product and participant distinctions makes compliance and implementation confusing for the end users.

Statement By European Commissioner Michel Barnier Welcoming The Agreement Reached On Disclosure Requirements For The Extractive Industry And Loggers Of Primary Forests And On Simpler Accounting Requirements For Small Companies

Date 09/04/2013

I congratulate the European Parliament, in particular the rapporteurs Klaus-Heiner Lehne and Arlene McCarthy, and the Council, in particular the Irish, Cypriot and Danish Presidencies on reaching this important agreement. The agreement on the disclosure requirements for the extractive and forestry industries shows how EU legislation can be a catalyst for change in developing countries. Local communities in resource-rich countries will finally be better informed about what their governments are being paid by multinationals for exploiting oil and gas fields, mineral deposits and forests. The agreement will bring in a new era of transparency to an industry which is far too often shrouded in secrecy and help fight tax evasion and corruption as well as create the framework so both companies and governments can be held to account on the use of revenues from natural resources.
CFTC’s Division Of Market Oversight Provides No-Action Relief From Swap Data Reporting Requirements To Swap Counterparties That Are Not Swap Dealers Or Major Swap Participants

Date 09/04/2013

The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) today announced the issuance of a no-action letter providing swap counterparties that are not swap dealers or major swap participants (“non-SD/MSP counterparties”), with certain relief from the reporting requirements of the CFTC’s swap data reporting rules, which are set forth at Parts 43, 45 and 46 of the CFTC’s regulations.
MIAX Options Exchange: MIAX Top Of Market (“ToM”) Data Product Amendment To MIAX Options Fee Schedule

Date 09/04/2013

MIAX Regulatory Circular 2013-19 refers to an amended MIAX Fee Schedule which establishes Top of Market (ToM) fees applicable to Distributors of ToM.
CFTC Announces Jonathan L. Marcus As General Counsel

Date 09/04/2013

Commodity Futures Trading Commission Chairman Gary Gensler today announced that Jonathan L. Marcus has been named the agency’s General Counsel. Mr. Marcus has served at the Commission for the past two years as the Deputy General Counsel for Litigation. In this role, Mr. Marcus represented the Commission in federal court and has been advising the Commission on a broad array of regulatory and legal matters.
RiskAdvisory Is Ready To Support SDR Reporting For Commodity End Users’ Dodd-Frank Compliance

Date 09/04/2013

With the April 10 deadline looming for commodity swap market counterparties to obtain their Commodity Futures Trading Commission legal entity identifiers for Dodd-Frank compliance reporting, RiskAdvisory is announcing its preparation of SAS BookRunner v12 commodity trading and risk management (CTRM) connections to the swap data repositories (SDRs).