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Date 27/01/2014
A Renewed Perspective On SEC Priorities - Commissioner Daniel M. Gallagher - Forum For Corporate Directors, Orange County, California
Thank you, Chris [Cox], for your generous introduction and your invitation to address this truly distinguished gathering. I was honored that Chris asked me to speak here today. But it was an even bigger honor to work for Chris when he was Chairman, both as his Counsel and as Deputy Director of the Division of Trading and Markets. Chris’s incredible intellect and leadership tremendously benefitted the agency during the worst of the financial crisis. I know I can speak for my colleagues who, like me, toiled in the trenches alongside Chris when I say that Chris was an island of calm in a sea of misguided government intervention.
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Date 27/01/2014
OCC Teams With Securities Finance Trust Company To Create An Automated Default Management Platform
OCC and Securities Finance Trust Company (SFTC) announced today they have developed Auction Platform Services (APS) to aid OCC with its default management process.
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Date 27/01/2014
ISE Gemini Surpasses 750,000 Contracts In A Trading Day
ISE Gemini today announced that it surpassed 750,000 contracts for the first time (actual: 852,184 contracts) in a single day. Through January 2014, ISE Gemini has an average daily volume (ADV) of 565,730 and an overall equity options market share of 3.5 percent, excluding dividend trades.
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Date 27/01/2014
NYSE Group Inc. Issues Short Interest Report
The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of January 15, 2014 .
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Date 27/01/2014
MGEX Reports Top 20 Open Interest Day
MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports that total open interest reached the top 20 daily Exchange open interest records after Friday’s trade date.
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Date 27/01/2014
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 January 15, 2014.
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Date 27/01/2014
NASDAQ Announces Mid-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date January 15, 2014
At the end of the settlement date of January 15, 2014, short interest in 2,163 NASDAQ Global MarketSM securities totaled 7,109,533,384 shares compared with 7,083,109,452 shares in 2,161 Global Market issues reported for the prior settlement date of December 31, 2013. The Mid-January short interest represents 4.90 days average daily NASDAQ Global Market share volume for the reporting period, compared with 3.79 days for the prior reporting period.
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Date 27/01/2014
Advancing And Defending The SEC’s Core Mission - SEC Commissioner Michael S. Piwowar, U.S. Chamber Of Commerce, Washington, D.C.
Thank you, Chris (Donahue), for that very kind introduction. David Hirschmann, I commend you for the work that you do at the Chamber’s Center for Capital Markets Competitiveness to promote America’s global leadership in capital formation. I have had the pleasure of working with a number of talented people at the Center over the past few years and I want to take a moment to acknowledge just a few. Tom Quaadman, it has been great to join you in your efforts to ensure that the financial regulatory agencies are following the law and basing their decisions on the best available information about a regulatory action’s likely economic consequences. Jess Sharp, who was in the trenches with me at the White House during the height of the global financial crisis, please continue to advocate for bringing regulatory and public transparency to the over-the-counter derivatives markets while preserving Main Street’s ability to hedge their business risks. Alice Joe, I have enjoyed working with you on money market fund reforms that are consistent with the Securities and Exchange Commission’s (SEC’s or Commission’s) goal of preserving the benefits of the product for investors and the short-term funding markets.
I also want to thank everyone for being so understanding about rescheduling my speech due to the federal government shutdown last October. I am happy to finally be here to talk about some of the issues we are facing at the Commission. Before proceeding, I need to provide the standard disclaimer that the views I express today are my own, and do not necessarily reflect the views of the Commission or my fellow Commissioners.
I would like to take the opportunity today to articulate how I believe an SEC Commissioner should approach each and every issue that comes before the Commission. As you know, the SEC is confronted with a wide range of matters including rulemakings, exemptive requests, interpretive guidance, and, of course, enforcement actions. Regardless of the area, when making decisions, a Commissioner should be guided by the SEC’s core mission: to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
My overarching philosophy as an SEC Commissioner is pretty simple. It boils down to a question that I ask myself every morning on my way to work: What can I do today to help advance and defend the SEC’s core mission? I choose the words “advance” and “defend” carefully. They are words that can be used to describe both sports strategies and military strategies, which are appropriate analogies for an SEC Commissioner. Some days I feel like I am in a friendly competition that involves well-defined and well-enforced rules. Other days I seem to be in hand-to-hand combat with outside forces.
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Date 27/01/2014
Montréal Exchange Sets New Open Interest Record On BAX
TMX Group Limited today announced that Montréal Exchange (MX) set a new open interest record of 889,471 contracts on the Three-Month Canadian Bankers' Acceptance Futures (BAX)* on January 24, 2014. The previous record was set on December 4, 2013 with open interest of 866,569 contracts.
*1 BAX contract = C$ 1 000,000 dollars.
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Date 27/01/2014
The SEC in 2014 - Chair Mary Jo White - 41st Annual Securities Regulation Institute, Coronado, Calif.
This keynote address is named in honor of Alan B. Levenson. Alan was a co-founder of this Institute and a true legend of the securities bar. He served with great distinction as a private practitioner and academic, and from 1970 to 1976 as the SEC’s sixth director of the Division of Corporation Finance. It was his vision to bring the best of the private bar and SEC staff together yearly on the West Coast to share perspectives, rightly believing that talking face-to-face would result in a better understanding of the need and optimal way to protect investors and enable our capital markets to safely thrive. This Institute is a living tribute to Alan Levenson and I am privileged to speak to you today in his honor.
It is great to be back at the Institute. I was scheduled to be here last year for the enforcement panel as I have been for about 10 years, but I was called to Washington where the President announced my nomination as the 31st Chair of the Securities and Exchange Commission. It seemed like a good enough reason to cancel – well, it did at the time.
My first appearance at the Institute was in 1998 when I also was asked to give the keynote address. I was the United States Attorney for the Southern District of New York at the time and the title of my remarks was “White Collar Crime: No Place for Timidity.” In 2001, I was asked again to make the keynote address and spoke about the importance of companies’ compliance programs.
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