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Date 21/11/2014
Remarks To The American Bar Association's Business Law Section Fall Meeting, Andrew Ceresney, Director, SEC Division Of Enforcement, Washington D.C., Nov. 21, 2014
Before I begin, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.
I am pleased to be here this morning to talk about the latest developments in the SEC’s Enforcement Division. The SEC recently completed its fiscal year, which was my first full fiscal year as Enforcement Director and Chair White’s first as Chair. As a result, I wanted to spend a little time today highlighting some of our successes over the past year, look briefly at what to expect in the coming year, and then talk about some areas that have been the focus of much discussion in recent months — administrative proceedings, admissions, and our increased use of big data.
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Date 21/11/2014
Will OPEC Defend Oil Prices Or Let the Market Completely Take Control?
With the OPEC meeting ahead of us next week, there are two main questions on the table for discussion: Should OPEC let the market set oil prices and determine what crudes are economical to produce, and will it cut production to stabilize prices in a world with a revitalized U.S. and Canadian production regime?
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Date 21/11/2014
Keynote Address At Columbia Law School Conference On Current Issues In Securities Regulation: The ‘Hot’ Topics SEC Commissioner Kara M. Stein, Columbia Law School, New York, NY
Thank you, John [Coffee], for your kind introduction.
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.
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Date 21/11/2014
CFTC Commitments Of Traders Reports Update
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Date 21/11/2014
Direct Edge Trading Notice #14-54: BATS Releases Direct Edge Integration Port Attribute Matrix
Please be advised that all sessions created in the new EDGA and EDGX production environments in the Secaucus NY5 data center have been created with all port attributes set to the standard BATS default port setting. As such, after successfully certifying on the new EDGA and EDGX certification platforms, Members will need to perform a production port attribute audit to be sure their NY5 order entry sessions are configured in line with production trading objectives.
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Date 21/11/2014
Nigerian Stock Exchange Weekly Market Report For Week Ended 21 November 2014
A turnover of 1.359 billion shares worth N14.565 billion in 20,844 deals were traded this week by investors on the floor of The Exchange in contrast to a total of 1.850 billion shares valued at N30.863 billion that exchanged hands last week in 27,397 deals.
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Date 21/11/2014
FIA Elects Two New Board Members
FIA today announced the election of two new members to its board of directors: Tom Kadlec, president of ADM Investor Services, and George Simonetti, managing director and head of Markets Clearing and Futures Execution in Wells Fargo Securities’ Markets Division.
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Date 21/11/2014
SEC Charges CEO And Close Friend With Insider Trading Ahead Of Company Sale
The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with confidential details about his New Jersey-based company’s nonpublic merger discussions that enabled the friend to make $164,260 in trading profits after it was sold to a private equity firm.
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Date 21/11/2014
TOM MTF statistics Week 47 2014
Click here to download the weekly statistics update of TOM MTF for week 47, 2014.
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Date 21/11/2014
The FCA’s New Competition Powers: What Do They Mean For The Financial Services Industry? - Speech By Deb Jones, Director Of Competition At The FCA, At A Scottish Financial Enterprise Lunch, Hosted By Maclay Murray & Spens LLP, Edinburgh.
Introduction
I want to thank Scottish Financial Enterprise for inviting me here to speak today and Maclay and Murray & Spens for their hospitality. I’m here as Director of Competition at the Financial Conduct Authority. Although I’m based down in London in the Competition Department, I work just as closely with colleagues in Edinburgh as those in Canary Wharf.
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