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Date 11/07/2012
NYSE MKT Issues Short Interest Report
NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of June 29, 2012.
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Date 11/07/2012
Opening Remarks Regarding The Adoption Of Final Rules For The Consolidated Audit Trail By SEC Commissioner Elisse B. Walter
Thank you, Chairman Schapiro.
This is an extraordinarily important initiative, and I would like to start this morning by repeating what I said at the proposing stage, and once again commend the staff in the Divisions of Trading & Markets; Risk, Strategy, and Financial Innovation; and Enforcement; and the Offices of Compliance Inspections and Examinations; General Counsel; and Information Technology for their hard work and collaboration on this project. I was fortunate to have been closely involved during the genesis of the consolidated audit trail proposal, and, thus, I have borne witness to the evolution of the staff’s thinking, their impressive level of dedication and the true collaborative spirit with which the Divisions and Offices have worked. I do not underestimate the significance of this rule or the effort required to bring it to fruition, and I congratulate all of you for your efforts and fortitude in getting this to the interim finish line at which we stand today. And many thanks go to my counsel, Cyndi Rodriguez, who has worked tirelessly with me throughout this process.
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Date 11/07/2012
FIA Issues Statement Regarding Peregrine Financial Group
The Futures Industry Association issued the following statement today in response to the discovery of accounting irregularities at Peregrine Financial Group and a large shortfall of customer funds.
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Date 11/07/2012
Statement At SEC Open Meeting: Consolidated Audit Trail By SEC Commissioner Daniel M. Gallagher
Thank you, Chairman Schapiro. I’d like to join my colleagues in expressing gratitude to the staff for the tremendous amount of work that went into this rulemaking, and the tremendous quality of the work product. This has truly been a collaborative effort, with staff from various Divisions and Offices pooling their experience, talents, and knowledge, and working closely together over a span of years.
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Date 11/07/2012
Minutes Of The Federal Open Market Committee, June 19-20, 2012
The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on June 19-20, 2012. A summary of economic projections made by Federal Reserve Board members and Reserve Bank presidents for the June 19-20, 2012 meeting is also included as an addendum to these minutes.
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Date 11/07/2012
“Smart Regulation: Keeping The Door Open for Effective Ideas” By SEC Commissioner Luis A. Aguilar
In my remarks at the Commission’s May 26, 2010 meeting considering the CAT proposal, I quoted from a 1980 Commission report that spoke about the need for a comprehensive market oversight surveillance system. Flash forward over three decades from that report, and not much has changed. We have seen enormous growth in the capital markets, and the SEC still does not have access to comprehensive market data. As a result, I have been a consistent and vocal supporter of a consolidated audit trail.
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Date 11/07/2012
“That’s a Clown Question, Bro” - Statement Of Commissioner Bart Chilton At The CFTC Public Meeting On Dodd/Frank Rulemaking
Thank you Mr. Chairman. There are a couple of important events coming up that I want to share with you today. First, tonight the All-Star game will be played. Also, in just 11 days, we’ll have the two-year anniversary of the signing of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Now, some of you are asking, “How’s he going to put these two totally divergent things together?” It’ll all make sense in a minute. Really.
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Date 11/07/2012
Katharina Pistor And Martin Hellwig Receive Max Planck Research Award - Excellent Research Focus On The Regulation Of International Financial Markets
The Max Planck Research Award 2012 goes to Martin Hellwig from the Max Planck Institute for Research on Collective Goods in Bonn and Katharina Pistor from Columbia University School of Law (New York) for their work in the field of ‘regulating international financial markets’. The award winners each receive 750,000 EUR to finance their research, including in particular their cooperation with academics in other countries.
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Date 11/07/2012
FESE European Equity Market Report – June 2012 Figures
The European Equity Market Report June figures are now available.
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Date 11/07/2012
Princeton Financial Systems Signs Asian Fund Manager
Princeton Financial® Systems today announced that as part of their continued growth in the Asia market, they have signed on APS Asset Management Pte Ltd (APS) for PAM® for Securities. PAM for Securities is a comprehensive investment accounting and management platform that supports international accounting and reporting requirements for a diverse range of assets and portfolio types.
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