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Date 07/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Interpretative Guidance And No-Action Letter For Operators Of Securitization Vehicles
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a letter providing additional guidance to securitization vehicles regarding whether they may be excluded from the definition of commodity pool. The letter also stated that the Division will not recommend that the Commission take enforcement action against the operators of certain securitization vehicles that have not and will not issue new securities on or after October 12, 2012 for failure to register as a commodity pool operator, provided certain criteria are satisfied. Finally, the letter stated that, for securitization vehicles that cannot claim relief either under this letter or CFTC Letter No. 12-14, which was issued by the Division on October 11, 2012, the Division will not recommend enforcement action against operators of securitization vehicles for failure to register as a commodity pool operator until March 31, 2013.
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Date 07/12/2012
S&P Dow Jones Indices Announces Changes In Canadian Indices - A Deletion From The S&P/TSX Composite Index
The shareholders of Viterra Inc. (TSX:VT) have accepted the $CDN16.25 cash per share offer from Glencore International plc (LSE:GLEN). Viterra will be removed from the S&P/TSX Composite and Capped Composite, the S&P/TSX Equity and Capped Equity, the S&P/TSX Completion and Equity Completion, the S&P/TSX Composite Dividend, the S&P/TSX Composite Equal Weight and the S&P/TSX Capped Consumer Staples Indices effective after the close of Friday, December 14, 2012.
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Date 07/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter For Operators Of Mortgage REITs
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter to mortgage real estate investment trusts (mREITs). The letter states that DSIO will not recommend that the CFTC take enforcement action against the operators of mREITs for failure to register as commodity pool operators under the Commodity Exchange Act and the CFTC’s regulations provided that the mREIT satisfies certain criteria including compliance with a de minimis threshold.
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Date 07/12/2012
S&P Dow Jones Indices Announces Changes In Canadian Indices - A Deletion From S&P/TSX Venture Composite And Venture Select Indices
The shareholders of Prodigy Gold Incorporated (TSXVN:PDG) have approved the Plan of Arrangement whereby the company will be acquired by Argonaut Gold Inc. (TSX:AR). Shareholders of Prodigy Gold will receive 0.1042 shares of Argonaut Gold and $CDN0.000001 cash per share held.
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Date 07/12/2012
The MIAX Options Exchange Joins OCC
OCC and Miami International Securities Exchange, LLC announced today that the MIAX Options Exchange has become an OCC participant exchange. The MIAX Options Exchange began operations today, Friday, December 7.
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Date 07/12/2012
BATS 1000 Index Rises 0.2% This Week
BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) rose 24.78 points, or 0.2%, this week to close at 15,928.08 as of the 4 p.m. ET market close today.
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Date 07/12/2012
Component Changes Made To Euro STOXX Select Dividend 30 Index
STOXX Limited, the market-moving provider of innovative, tradable and global index concepts, today announced component changes in the EURO STOXX Select Dividend 30 Index due to the fast exit rule. Component changes will become effective with the open of markets on December 24, 2012.
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Date 07/12/2012
CFTC Commitments Of Traders Reports Update
The current reports for the week of December 4, 2012 are now available.
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Date 07/12/2012
Deutsche Börse: Unscheduled Component Change In MDAX - Talanx To Replace Douglas Holding In MDAX - Constantin Medien To Remain In SDAX
Deutsche Börse today decided on unscheduled changes in MDAX. Due to the takeover of Douglas Holding by Beauty Holding Three AG, the free-float of Douglas Holding dropped below 10 percent. The company therefore no longer meets the minimum free-float criteria of the index.
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Date 07/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Provides No-Action Relief To Swap Dealers And Major Swap Participants From Compliance With Statutory Disqualification Prohibition With Respect To Their Association With Certain Persons
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) announced the issuance of limited no-action relief to Swap Dealers and Major Swap Participants (collectively, Swap Entities) from compliance with the prohibition in Regulation 23.22(b) against permitting a person who is subject to a statutory disqualification to effect or be involved in effecting swaps on behalf of the Swap Entity. The Division issued this relief with respect to: (1) non-domestic associated persons (APs) of Swap Entities who deal only with non-domestic swap counterparties; and (2) persons employed in a clerical or ministerial capacity (Employees) by Swap Entities. As the Division explains in the letter, the purpose of this relief is to align the treatment of these APs and Employees with the treatment of all other APs and Employees under the Commodity Exchange Act and the CFTC’s regulations.
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