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Date 28/11/2012
Statement Of Support: Clearing Determination For Certain Credit Default Swaps And Interest Rate Swaps - CFTC Chairman Gary Gensler
I support the final rule requiring certain interest rate swaps and credit default swap (CDS) indices to be cleared, as provided by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
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Date 28/11/2012
CFTC Staff Withdraws Elements Of The “Frequently Asked Questions On Reporting Of Cleared Swaps”
Staff of the Commodity Futures Trading Commission (Commission) today withdrew parts of its “Frequently Asked Questions on Reporting of Cleared Swaps.” Specifically, staff withdrew the following questions, and their corresponding answers:
“Which party has the authority to select the particular SDR for purposes of cleared swap reporting?”
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Date 28/11/2012
S&P Dow Jones Indices Announces Changes In Canadian Indices - A Graduation From TSX Venture Exchange
The Toronto Stock Exchange announced today in the Daily Bulletin that the shares of PMI Gold Corporation (TSXVN:PMV) will graduate to trade on TSX at the open of trading on Friday, November 30, 2012. The ticker symbol will remain "PMV" and the CUSIP number will remain 730153 20 2. The company will be removed from the S&P/TSX Venture Composite Index after the close of trading on Thursday, November 29, 2012.
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Date 28/11/2012
CFTC Seeks Public Comment On Request From The Chicago Mercantile Exchange Inc. To Adopt New Chapter 10 (“Regulatory Reporting Of Swap Data”) And New Rule 1001 (“Regulatory Reporting Of Swap Data”) Of CME’s Rulebook
The Commodity Futures Trading Commission (Commission) is requesting public comment on a request from the Chicago Mercantile Exchange Inc. (CME) for approval of a rule (Rule 1001) submitted pursuant to section 40.5 of the Commission’s regulations.
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Date 28/11/2012
TMX Group Holiday Operating Schedule
Toronto Stock Exchange, TSX Venture Exchange, Montréal Exchange, TMX Select and Alpha will be closed on Tuesday, December 25, 2012 for Christmas Day, Wednesday, December 26, 2012 for Boxing Day, and Tuesday, January 1, 2013 for New Year's Day.
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Date 28/11/2012
CFTC Meeting Scheduled For November 29, 2012, Has Been Cancelled
The Commodity Futures Trading Commission’s open meeting scheduled for Thursday, November 29, 2012, has been cancelled.
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Date 28/11/2012
SEC Charges Oil Company CEO As Source In Insider Trading Case
The Securities and Exchange Commission today announced charges against the former CEO of a Denver-based oil-and-gas company at the center of an insider trading scheme that the SEC began prosecuting last month.
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Date 28/11/2012
Speech By Governor Tarullo On Regulation Of Foreign Banking Organizations At The Yale School Of Management Leaders Forum, New Haven, Connecticut
In the aftermath of the financial crisis, regulators around the world continue to implement reforms designed to limit the incidence and severity of future crises. My subject today pertains to an area in which reforms have yet to be made--the regulation of the U.S. operations of large foreign banks.1 Applicable regulation has changed relatively little in the last decade, despite a significant and rapid transformation of those operations, as foreign banks moved beyond their traditional lending activities to engage in substantial, and often complex, capital market activities. The crisis revealed the resulting risks to U.S. financial stability.
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Date 28/11/2012
FINRA Files Complaint Charging The President And Owner Of Brooklyn Brokerage Firm TWS Financial For Operating Fraudulent Scheme Targeting Polish Community
The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Roman Sledziejowski, President and owner of Brooklyn, NY-based brokerage firm TWS Financial, LLC, charging him with defrauding three customers of more than $4 million through a scheme, carried on primarily outside the securities firm, involving converting client funds to his personal use while providing falsified account statements to his customers. Sledziejowski, a Polish-born investment manager, and his firm TWS Financial, catered to the Polish investment community in Brooklyn, and all of his victims were natives of Poland. On November 9, 2012, TWS Financial filed an application to withdraw its broker-dealer registration.
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Date 28/11/2012
SEC Charges New York-Based Fund Executives For Overvaluing Assets During Financial Crisis
The Securities and Exchange Commission today charged three top executives at a New York-based publicly-traded fund being regulated as a business development company (BDC) with overstating the fund’s assets during the financial crisis. The fund’s asset portfolio consisted primarily of corporate debt securities and investments in collateralized loan obligations (CLOs).
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