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  • SEC Approves New OCC Capital Plan - Plan Significantly Enhances OCC’s Equity Capital - OCC Board Declares Fee Reduction Effective April 1, 2015 And $33.3 Million Refund To Clearing Members

    Date 06/03/2015

    OCC, the world’s largest equity derivatives clearing organization,   announced today that the U.S. Securities and Exchange Commission (SEC) has approved OCC’s capital plan, which increases shareholders’ equity from $25 million at the end of 2013 to $247 million through the retention of $72 million in 2014 earnings and receipt of $150 million in equity capital contributions from OCC’s stockholder exchanges: Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, NASDAQ OMX PHLX LLC, NYSE MKT LLC, and NYSE Arca, Inc. Under the plan, the stockholder exchanges also commit to provide up to $117 million in replenishment capital in the event of unexpected losses, providing OCC with ready access to approximately $364 million in equity capital resources. Further, as OCC’s target capital requirement grows, the stockholder exchanges’ commitment to provide replenishment capital increases up to $200 million.

  • European Banking Authority Consults On Records Of Financial Contracts

    Date 06/03/2015

    The European Banking Authority (EBA) launched today a public consultation on draft Regulatory Technical Standards (RTS) on detailed records of financial contracts of institutions or relevant entities. These RTS have been developed within the framework established by the Bank Recovery and Resolution Directive (BRRD) which sets procedures for the recovery and resolution of credit institutions, investment firms and related entities across the EU Single Market. These standards aim to guarantee appropriate convergence in record keeping across the EU, whilst also ensuring that differences in institutions or relevant entities are taken into account. This consultation runs until 6 June 2015.

  • TOM MTF Statistics Week 10, 2015

    Date 06/03/2015

    Click here to download the weekly statistics update of TOM MTF for week 10, 2015. 

  • Bahamas International Securities Exchange 2014 Annual Statistical Report

    Date 06/03/2015

    BISX is pleased to announce its BISX All-Share Index and trading statistics for the twelve month period ending December 31, 2014 with comparison to the same period of 2013.

  • The Nigerian Stock Exchange (NSE) Commemorates International Women’s Day …Advocates For Gender Equality

    Date 06/03/2015

    The Nigerian Stock Exchange (NSE) in partnership with United Nations Women, United Nations Global Compact, the Sustainable Stock Exchanges (SSE) Initiative and Access Bank Plc., hosted a Closing Gong Ceremony on Friday, March 6, 2015, in celebration of the 20th Anniversary of the 1995 Beijing Declaration and Platform for Action and International Women’s Day. This is in line with the Exchange’s commitment to promoting gender equality and women’s economic empowerment.

  • Supporting Innovation Through the Commission’s Mission to Facilitate Capital Formation - Speech by SEC Commissioner Kara M. Stein - Stanford Rock Center for Corporate Governance, Stanford Law School, Stanford, CA

    Date 06/03/2015

    Before I begin my remarks, I am required to tell you that the views I am expressing today are my own, and do not necessarily reflect those of the Commission, my fellow Commissioners, or the staff of the Commission.

  • Phillip Boakes Sentenced Following Financial Conduct Authority Prosecution

    Date 06/03/2015

    Following an FCA prosecution, Phillip Boakes was today sentenced at Southwark Crown Court to ten years’ imprisonment for defrauding investors of at least £3.5m, using false instruments and accepting deposits without authorisation.

  • Ensuring That Shareholders Have A Meaningful, Effective Vote- Opening Statement At The SEC’s Proxy Roundtable By Commissioner Kara M. Stein

    Date 06/03/2015

    Welcome, and thank you all for being here today for the SEC’s roundtable on the following two issues: the Universal Proxy and Retail Participation in the Proxy Process. I appreciate that so many of you have taken the time out of your busy schedules to be here, and I am looking forward to hearing the views of our broad array of panelists, as well as the audience. In addition, thanks to the Chair and to the Division of Corporation Finance, in particular Jenny Riegel, for organizing this event. As many of you know, I have been advocating for a roundtable on these important issues, and I appreciate the hard work that it represents.

  • Japan's Securities And Exchange Surveillance Commission: Recommendation For Administrative Monetary Penalty Payment Order For Market Manipulation By Select Vantage Inc.

    Date 06/03/2015

    1. Contents of the Recommendation

    The Securities and Exchange Surveillance Commission (“SESC”), today, made a recommendation to the Prime Minister and the Commissioner of the Financial Services Agency that an administrative monetary penalty payment order be issued in regard to market manipulation by Select Vantage Inc. (“Select Vantage”) pursuant to Article 20(1) of the Act for Establishment of the Financial Services Agency. This recommendation is based on the findings of the investigation into the market manipulation, whereby the following violations of laws and ordinances were identified.

  • Apple Set To Join The Dow Jones Industrial Average

    Date 06/03/2015

    Apple Inc. (NASD:AAPL) will replace AT&T Inc. (NYSE:T) in the Dow Jones Industrial Average (DJIA) after the close of trading on Wednesday, March 18. The change will be effective with the opening of trading on Thursday, March 19. The index change was prompted by Visa Inc.’s (NYSE:V) 4:1 stock split which is scheduled to be effective at the same time. The post-split adjusted lower price of Visa will reduce the weighting of the Information Technology sector in the index. Adding Apple to the index will help to partially offset this reduction. In price weighted indices such as the DJIA, a large change in price of a high priced stock can have a material impact on sector representation in the index and this index change is designed to minimize that impact. The Telecommunication Services sector will continue to be represented in the DJIA by Verizon Communications Inc. (NYSE:VZ).