News Centre

SEC Charges California-Based Lawyer With Issuing Fraudulent Legal Opinion Letters

Date 07/03/2013

The Securities and Exchange Commission today charged a California-based lawyer who has been fraudulently churning out baseless legal opinion letters for penny stocks through his website without researching and evaluating the individual stock offerings.

Federal Reserve Releases Summary Results Of Bank Stress Tests

Date 07/03/2013

The nation's largest bank holding companies have continued to improve their ability to withstand an extremely adverse hypothetical economic scenario and are collectively in a much stronger capital position than before the financial crisis, according to the summary results of bank stress tests announced by the Federal Reserve on Thursday.

STOXX Announces New Composition Of Select Dividend, Style And Grand Prix Indices Results Of The Review To Be Effective On March 18, 2013

Date 07/03/2013

STOXX Limited, the market-moving provider of innovative, substantial and global index concepts, today announced the results of the annual review of the STOXX Select Dividend Index series and the STOXX Global Grand Prix Index; as well as the result of the semi-annual review of the STOXX TMI Growth and STOXX TMI Value indices, their respective large, mid- and small sub-indices and the respective indices for the euro zone. All changes will be effective on March 18, 2013.

SEC: Remarks To The Investment Management Institute 2013 By Norm Champ, Director, Division Of Investment Management As Delivered By David W. Grim, Deputy Director, Division Of Investment Management

Date 07/03/2013

Introduction

Good morning. I am pleased to be here today on behalf of Norm Champ, Director of the Division of Investment Management. Norm very much wanted to be with you today, and I am very pleased to have the opportunity to step in for him and deliver these remarks on his behalf.

ISDA Response To HMT Regarding ‘Amendments To The Recognition Requirements For Investment Exchanges

Date 07/03/2013

This letter contains the response of the International Swaps and Derivatives Association, Inc. (“ISDA”) to the HM Treasury (“HMT”) Consultation Paper on ‘Amendments to the recognition requirements for investment exchanges and clearing houses’. We are grateful for HMT raising this matter with us and providing additional time for response.

Opening Statement At The SEC Open Meeting By SEC Chairman Elisse Walter

Date 07/03/2013

Good afternoon. This is an open meeting of the U.S. Securities and Exchange Commission on March 7, 2013.

Program Trading Averaged 30.5 Percent Of NYSE Volume During Feb. 25-Mar. 1

Date 07/03/2013

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Feb. 25-Mar. 1.

BATS Chi-X Europe Reports New Daily Record Of 16.2% Market Share In Spain - BATS Chi-X Europe’s Market Share In The IBEX 35 Continues To Grow Rapidly

Date 07/03/2013

BATS Chi-X Europe, the largest pan-European equities market operator, today reported 16.2% market share in Spain’s IBEX 35, inclusive of the closing auction, a new one-day record and the first time BATS Chi-X Europe has closed above 15% in this key market.

Exchange Traded Derivatives Trading Volumes Decrease 15% In 2012

Date 07/03/2013

For the first time since 2004, the number of Exchange Traded Derivatives (ETD) worldwide decreased in 2012 by 15% to 21 billion, according to statistics compiled by the World Federation of Exchanges (WFE).

CFTC Provides Operational Guidance Concerning Maintenance Of CICIs Issued Through Assisted Registration

Date 07/03/2013

The Utility designated by the Commodity Futures Trading Commission (CFTC) to issue legal entity identifiers or LEIs (currently known as CFTC interim compliant identifiers or CICIs) has requested operational guidance from the CFTC concerning maintenance of CICIs issued through assisted registration with explicit permission from the entity registered. The Commission has provided the following operational guidance to the Utility.