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Date 03/03/2011
Speech By SEC Commissioner Elisse B. Walter: Opening Remarks Regarding Incentive-Based Compensation Arrangements
I, too, would like to thank the staff for your tireless efforts in preparing the proposed rules before us today. My thanks go especially to the staff of the Division of Trading and Markets for all the time you spent with me and my counsel. Thank you for your thoughtful consideration of my questions and concerns.
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Date 03/03/2011
Changes In SDAX And TecDAX - Deutsche Börse Reviews Index Composition
On Thursday, Deutsche Börse has decided on the new composition of its equity indices SDAX and TecDAX. Hamborner REIT is included in SDAX and replaces Pfleiderer. Manz Automation leaves TecDAX and is replaced by Süss MicroTec. Gigaset replaces Conergy in TecDAX. This decision is based on the assignment of Gigaset to the technology segment
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Date 03/03/2011
Speech By SEC Commissioner Luis A. Aguilar: Statement At SEC Open Meeting: Allow the Regulators To Regulate
I join my colleagues in thanking our staff. This proposal tasked our staff with the impossible challenge of creating an appropriate substitute for the credit rating references in Investment Company Act Rules 2a-7 and 5b-3. On prior occasions, the Commission has publicly considered this exact issue and was told repeatedly by staff and public commenters that no appropriate substitute exists. In February 2010, the Commission agreed as to Rule 2a-7 and reached the conclusion to retain the reference to the credit rating as an initial threshold requirement.
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Date 03/03/2011
Cyrille Stevant Has Been Appointed Deputy Director Of The Retail Investor Relations Division (DREP) At The Autorité Des Marchés Financiers, Effective 1 February 2011
Cyrille Stevant, 40, was a foreign exchange spot dealer and analyst at the Directorate General, Operations of the Banque de France (BdF). In 2003 he was seconded to the Regulatory Policy and International Affairs Division (DRAI) of the AMF, where he worked on asset management regulation, notably as secretary of the IOSCO standing committee responsible for these matters. He returned to the BdF in 2007, serving until 2010 as head companies’ division methodology and analysis unit, which is responsible for issuing BdF ratings to non-financial companies. At the end of 2010 he came back to the AMF and joined the Retail Investor Relations Division. Cyrille is a graduate of Sciences Po Paris and holds a degree in economics from the University of Nancy II and a postgraduate degree in economics from the University of Paris IX Dauphine. He is also an alumnus of Institut des Techniques de Marché, part of the French banking industry training centre, CFPB.
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Date 03/03/2011
Speech By SEC Commissioner Troy A. Paredes: Statement At Open Meeting To Propose Rules Regarding References to Credit Ratings in Certain Investment Company Act Rules and Forms
Thank you, Chairman Schapiro.
Section 939A of the Dodd-Frank Act contemplates the removal of references to credit ratings in rules and forms under the federal securities laws, including the Investment Company Act of 1940. The recommendation before us goes toward giving effect to this provision of Dodd-Frank.
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Date 03/03/2011
Testimony Before The U.S. Senate Committee On Agriculture, Nutrition & Forestry, Washington, DC - CFTC Chairman Gary Gensler
Good afternoon Chairwoman Stabenow, Ranking Member Roberts and members of the Committee. I thank you for inviting me to today’s hearing on implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. I am pleased to testify on behalf of the Commodity Futures Trading Commission (CFTC). I also thank my fellow Commissioners and CFTC staff for their hard work and commitment on implementing the legislation.
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Date 03/03/2011
Speech By SEC Commissioner Troy A. Paredes: Statement At Open Meeting To Propose Rules Regarding Clearing Agency Standards For Operation And Governance
Thank you, Chairman Schapiro.
I support the recommendation before us to propose rules regarding the registration of clearing agencies and standards for their operation and governance. The rules are being proposed in accordance with Sections 763 and 805 of the Dodd-Frank Act, as well as Section 17A of the Exchange Act.
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Date 03/03/2011
California Federal Court Imposes More Than $46.9 Million In Monetary Sanctions On Robert D. Bame And His Firm, Forward Investment Group, LLC, For Commodity Pool Fraud -Bame Was Sentenced To 97 Months Imprisonment In A Criminal Proceeding For The Same Fraudulent Scheme
The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court order imposing more than $46.9 million in restitution and civil monetary penalties on Robert D. Bame of Moreno Valley, Calif., and his firm, Forward Investment Group, LLC (Forward) of Santa Monica, Calif. The order requires the defendants to pay restitution of $16,038,568.68 and a $30,887,006 civil monetary penalty for commodity pool fraud.
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Date 03/03/2011
SEC Obtains Settlement With CEO To Recover Compensation And Stock Profits He Received During Company's Fraud
The Securities and Exchange Commission today announced a settlement with the chief executive officer of an Atlanta-based homebuilder to recover several million dollars in bonus compensation and stock profits that he received while the company was committing accounting fraud.
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Date 03/03/2011
Program Trading Averaged 27.2 Percent Of NYSE Volume During Feb. 22-25
The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Feb. 22-25.
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