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Speech By SEC Chairman Mary L. Schapiro: Opening Statement Before The Commission Open Meeting

Date 17/09/2009

Good Afternoon. This is an open meeting of the U.S. Securities and Exchange Commission on September 17, 2009.
New York Attorney General Cuomo Secures Agreements With Four Leading Private Equity Firms To Adopt Code Of Conduct And Eliminate Pay-To-Play In Public Pension Funds Nationwide - HM Capital Partners I, Levine Leichtman Capital Partners, Access Capital Part

Date 17/09/2009

Attorney General Andrew M. Cuomo today announced that four leading private equity firms, HM Capital Partners I (“HM Capital”), Levine Leichtman Capital Partners (“Levine Leichtman”), Access Capital Partners (“Access”), and Falconhead Capital (“Falconhead”) have adopted Cuomo’s Public Pension Fund Reform Code of Conduct to reform the public pension fund system and to end pay-to-play practices nationwide. Under the terms of the agreements a
Speech By SEC Chairman Mary L. Schapiro: Statement Before The Commission Open Meeting — Flash Orders

Date 17/09/2009

We are considering a recommendation to propose an amendment to the Commission's rules that would prohibit the practice of flashing marketable orders. Flash orders provide a momentary head-start in the trading arena that can produce inequities in the markets and create disincentives to display quotes.
Sally Dewar, Managing Director Of Wholesale Markets Financial Services Authority, Addresses FSA Asset Management Sector Conference

Date 17/09/2009

Sally Dewar, managing director of Wholesale Markets at the Financial Services Authority (FSA), today set out how the EU Alternative Investment Fund Management Directive could be made more workable for the industry and why a risk-based and global approach to regulating fund management is needed.
Program Trading Averaged 26.9 Percent Of NYSE Volume During Sept. 8-11

Date 17/09/2009

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 Sept. 8-11.

Standard & Poor's Announces Changes In The S&P/TSX Venture Composite Index

Date 17/09/2009

Standard & Poor's will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Thursday, September 17, 2009:
CME Group Announces Volume Record For Natural Gas Futures

Date 17/09/2009

CME Group, the world's largest and most diverse derivatives marketplace, today announced a daily volume record for natural gas futures traded on the CME Globex(R) electronic trading platform and the New York trading floor on September 15. These contracts are listed with and subject to the rules and regulations of NYMEX.
Barclays Capital Takes Equity Stake In Tradeweb

Date 17/09/2009

Tradeweb, a leading global provider of online markets, today announced that Barclays Capital, the investment banking division of Barclays Bank PLC, has taken a minority equity stake in its business. In connection with the transaction, Thomson Reuters and its dealer-owners will invest an additional $68 million in total, reinforcing their commitment to Tradeweb’s electronic markets.
Jean-Pierre Jouyet, Chairman Of The Autorité Des Marchés Financiers: Speech To UK FSA Annual Conference On Asset Management - European Commission Draft Directive On AIFM, 17 september 2009, London

Date 17/09/2009

Ladies and Gentlemen, Firstly, I would like to warmly thank Dan Waters for his kind invitation to speak at such a key event. This is an opportunity for me to clarify the French positions on the draft Directive on alternative investment funds' managers – the AIFM Directive as it is now known.
SWIFT: New EU-US Agreement Will Be Renegotiated Next Year

Date 17/09/2009

Under pressure from MEPs, the Council of EU ministers has agreed to renegotiate a deal with the US on the transfer of banking data next year, by which time Parliament may have a final say on such agreements under the Lisbon Treaty. Meanwhile, Parliament adopted a resolution setting out guidelines to ensure privacy is not harmed under the deal being negotiated at present.