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Speech By SEC Commissioner Kathleen L. Casey: Statement At SEC Open Commission Meeting: Clearing Agency Standards For Operation And Governance

Date 03/03/2011

Thank you, Chairman Schapiro. Let me first take a moment to thank Robert Cook and his staff from the Division of Trading and Markets for their work on the proposed rule. I have just a few comments.

NSX Releases February 2011 ETF/ETN Data Reports - Assets Continue To Reach Record Levels

Date 03/03/2011

National Stock Exchange, Inc. (NSX®) announced that assets in U.S. listed Exchange-Traded Funds (ETF) and Exchange-Traded Notes (ETN) continue to reach record levels, totaling approximately $1.06 trillion at February 2011 month-end, an increase of approximately 38% over February 2010 month-end when assets totaled $765 billion.  At the end of February 2011, the number of listed products totaled 1,135 compared to 964 listed products at the same time last year.

Speech By SEC Commissioner Kathleen L. Casey: Statement Regarding Incentive-Based Compensation Rules Pursuant To Section 956 Of Dodd-Frank

Date 03/03/2011

Thank you, Chairman Schapiro. Section 956 requires federal financial regulators to jointly adopt incentive-based compensation regulations or guidelines that apply to covered financial institutions, which in the case of the Commission means registered broker dealers and investment advisers with total assets of more than $1 billion.

Written Testimony by U.S. Treasury Secretary Tim Geithner Before The Senate Foreign Relations Committee

Date 03/03/2011

Speech By SEC Commissioner Elisse B. Walter: Opening Remarks Regarding Incentive-Based Compensation Arrangements

Date 03/03/2011

I, too, would like to thank the staff for your tireless efforts in preparing the proposed rules before us today. My thanks go especially to the staff of the Division of Trading and Markets for all the time you spent with me and my counsel. Thank you for your thoughtful consideration of my questions and concerns.

Changes In SDAX And TecDAX - Deutsche Börse Reviews Index Composition

Date 03/03/2011

On Thursday, Deutsche Börse has decided on the new composition of its equity indices SDAX and TecDAX. Hamborner REIT is included in SDAX and replaces Pfleiderer. Manz Automation leaves TecDAX and is replaced by Süss MicroTec. Gigaset replaces Conergy in TecDAX. This decision is based on the assignment of Gigaset to the technology segment

Speech By SEC Commissioner Luis A. Aguilar: Statement At SEC Open Meeting: Allow the Regulators To Regulate

Date 03/03/2011

I join my colleagues in thanking our staff. This proposal tasked our staff with the impossible challenge of creating an appropriate substitute for the credit rating references in Investment Company Act Rules 2a-7 and 5b-3. On prior occasions, the Commission has publicly considered this exact issue and was told repeatedly by staff and public commenters that no appropriate substitute exists. In February 2010, the Commission agreed as to Rule 2a-7 and reached the conclusion to retain the reference to the credit rating as an initial threshold requirement.

Cyrille Stevant Has Been Appointed Deputy Director Of The Retail Investor Relations Division (DREP) At The Autorité Des Marchés Financiers, Effective 1 February 2011

Date 03/03/2011

Cyrille Stevant, 40, was a foreign exchange spot dealer and analyst at the Directorate General, Operations of the Banque de France (BdF). In 2003 he was seconded to the Regulatory Policy and International Affairs Division (DRAI) of the AMF, where he worked on asset management regulation, notably as secretary of the IOSCO standing committee responsible for these matters. He returned to the BdF in 2007, serving until 2010 as head companies’ division methodology and analysis unit, which is responsible for issuing BdF ratings to non-financial companies. At the end of 2010 he came back to the AMF and joined the Retail Investor Relations Division. Cyrille is a graduate of Sciences Po Paris and holds a degree in economics from the University of Nancy II and a postgraduate degree in economics from the University of Paris IX Dauphine. He is also an alumnus of Institut des Techniques de Marché, part of the French banking industry training centre, CFPB.

Speech By SEC Commissioner Troy A. Paredes: Statement At Open Meeting To Propose Rules Regarding References to Credit Ratings in Certain Investment Company Act Rules and Forms

Date 03/03/2011

Thank you, Chairman Schapiro.

Section 939A of the Dodd-Frank Act contemplates the removal of references to credit ratings in rules and forms under the federal securities laws, including the Investment Company Act of 1940. The recommendation before us goes toward giving effect to this provision of Dodd-Frank.

Testimony Before The U.S. Senate Committee On Agriculture, Nutrition & Forestry, Washington, DC - CFTC Chairman Gary Gensler

Date 03/03/2011

Good afternoon Chairwoman Stabenow, Ranking Member Roberts and members of the Committee. I thank you for inviting me to today’s hearing on implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. I am pleased to testify on behalf of the Commodity Futures Trading Commission (CFTC). I also thank my fellow Commissioners and CFTC staff for their hard work and commitment on implementing the legislation.