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CFTC Issues Final Order To Exempt Certain Specified Transactions Of Regional Transmission Organizations And Independent System Operators

Date 28/03/2013

The Commodity Futures Trading Commission (CFTC) approved a final order that exempts certain specified transactions of Regional Transmission Organizations (RTOs) and Independent System Operators (ISOs) from certain provisions of the Commodity Exchange Act (CEA) and Commission regulations. This order is in response to a petition from certain RTOs and ISOs that are subject to regulation by either the Federal Energy Regulatory Commission (FERC) or the Public Utility Commission of Texas (PUCT). The Commission voted 5 to 0 via seriatim.
NYSE Announces First-Quarter 2013 Circuit-Breaker Levels

Date 28/03/2013

The New York Stock Exchange will implement new circuit-breaker collar trigger levels for second-quarter 2013 effective Monday, April 1, 2013.
CFTC Issues Final Order To Exempt Certain Non-Financial Energy Derivative Transactions Between Government And/Or Cooperatively-Owned Electric Utilities

Date 28/03/2013

The Commodity Futures Trading Commission (CFTC) approved by a seriatim vote of 5 - 0 a Final Order that exempts certain non-financial energy derivative transactions between and amongst government-owned electric utilities and cooperatively-owned electric utilities from most of the requirements of the Commodity Exchange Act (CEA). The entities eligible for the relief are charged with a unique public service mission of providing their customers with reliable, affordable electric energy service. The Dodd-Frank Wall Street Reform and Consumer Protection Act directed the Commission to provide such an exemption for certain transactions between certain electric utilities if it is in the public interest. The Commission issued a Proposed Order on August 23, 2012, and requested public comments for 30 days. The Final Order makes changes, mostly clarifying and technical, to the Proposed Order based on the comments received.
SEC Announces Agenda for Fixed Income Roundtable

Date 28/03/2013

The Securities and Exchange Commission today announced the agenda for its upcoming roundtable to discuss potential ways to improve the transparency and efficiency of fixed income markets.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief For Certain Futures Commission Merchants Concerning Annual Reports Of Chief Compliance Officers

Date 28/03/2013

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that provides certain futures commission merchants (FCMs) with limited relief surrounding the requirement that chief compliance officers of such FCMs prepare and submit an Annual Report, pursuant to Commission Regulation 3.3.

Canadian Securities Regulators Implement Disclosure Requirements For Investment Costs And Performance

Date 28/03/2013

The Canadian Securities Administrators (CSA) are implementing new requirements to ensure all investors receive essential information about the costs and performance of their investments. The new requirements apply to all firms registered to deal in securities or act as portfolio managers. The new requirements are set out in amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103).
Statement Of Support By CFTC Chairman Gary Gensler On Final Order Related To Certain RTO And ISO Electricity Transactions

Date 28/03/2013

I support the final order regarding specified electric energy-related transactions entered into on markets administered by regional transmission organizations (RTOs) or independent system operators (ISOs).
Statement Of Support By CFTC Chairman Gary Gensler On Final Order Regarding Electricity And Energy-Related Transactions Between Cooperatively Owned, Government And Tribal Electric Utilities

Date 28/03/2013

I support the final order regarding certain electricity and electricity-related energy transactions between rural electric cooperatives and/or federal, state, municipal, and tribal power authorities (as defined in section 201F of the Federal Power Act).
The Nigerian Stock Exchange Market Report For The Week Ended 28-03-2013

Date 28/03/2013

The stock market opened for four days this week as the Federal Government of Nigeria has declared Friday 29th March 2013 a public holiday to mark Good Friday.
MIAX Options Exchange: Penny Pilot Classes For Option Classes To Start Trading On April 1, 2013

Date 28/03/2013

MIAX Regulatory Circular 2013-14 identifies options classes to start trading on April 1, 2013 to be included in the MIAX Penny Pilot Program.