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January 18, 2013
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  Regulatory Roundup 
  • Sources say former prosecutor is considered to lead SEC
    Former federal prosecutor Mary Jo White reportedly is in consideration to lead the Securities and Exchange Commission. White presents a different profile compared with former chairmen, who often were lawyers with experience in the financial sphere. Bloomberg (1/17) LinkedInFacebookTwitterEmail this Story
  • OTC derivatives margin rules are worrisome, ISDA official says
    An official of the International Swaps and Derivatives Association has raised concerns about proposals by the Basel Committee on Banking Supervision and International Organization of Securities Commissions to implement variation and initial margin on over-the-counter derivatives. "In their attempts to correct the financial system, regulators may be overshooting and creating a collateral crunch," said George Handjinicolaou, deputy CEO and head of Europe at ISDA. The Trade News (U.K.) (1/17) LinkedInFacebookTwitterEmail this Story
  Industry Developments 
  • Nasdaq OMX fills 3 posts in preparation for NLX launch
    Nasdaq OMX has hired David Helps as head of business development and Blake Stephenson as compliance director for its planned NLX derivatives market. "These strategic senior appointments build on our existing team as we prepare for the launch of NLX. They are well known in the industry and bring extensive experience and knowledge of our market," said Charlotte Crosswell, chief executive at NLX, which is expected to offer trading in interest-rate products. Nasdaq has also recruited Tom Morris, formerly of the London Stock Exchange, as a sales director. The Trade News (U.K.) (1/17), Financial News Online (U.K.) (subscription required) (1/17) LinkedInFacebookTwitterEmail this Story
  Electronic Trading News 
  • Germany should beef up its planned HFT curbs, group says
    Finance Watch, a European advocacy group, has called on the German government to make its proposal on high-frequency trading stricter. The call comes as German lawmakers discuss proposals for curbing the practice, including requiring HFT firms to register with regulators, sanctions and fines for certain actions and a minimum resting time for orders. Financial News Network Online (1/17) LinkedInFacebookTwitterEmail this Story
  Commodities and Managed Futures 
  FIA News 
  • Mandatory Clearing, Margin Requirements, LSOC, Customer Protection Rules and Other Key Topics to be Discussed at FIA's NY Expo April 10 and 11
    The FIA's second annual NY Expo will cover a host of topics relating to the rapidly changing industry: mandatory clearing, rising margin requirements, LSOC with excess, reporting requirements, Basel capital requirements, banking and collateral, customer protection rules, block trading, setting limits on give ups and bunched orders, allocation of bunched orders, risk management best practices for trading firms, execution brokers and clearing firms, and electronic trading of OTC derivatives. The NY Expo will be held in conjunction with FIA Chicago, Futures Services and Information Technology Divisions, at the Hilton New York on April 10 and 11. Mark your calendar and contact tvitale-chan@futuresindustry.org for sponsorship and exhibiting opportunities. LinkedInFacebookTwitterEmail this Story
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  SmartQuote 
If I had my life to live over, I would perhaps have more actual troubles but I'd have fewer imaginary ones."
--Don Herod,
American humorist, writer and cartoonist


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