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SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps

October 13, 2010-- The Securities and Exchange Commission today proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post security-based swaps or make them available for trading.

Prior to passage of the Dodd-Frank Act, the over-the-counter derivatives market was largely unregulated. The new law fills a number of significant regulatory gaps and gives the SEC important new tools to better protect investors.

"The concern about conflicts of interest stems from the fact that the over-the-counter derivatives markets have a relatively high concentration of market activity through a limited number of dealers who earn significant revenues from their transactions," said SEC Chairman Mary L. Schapiro. "By creating a structure that would promote more independent voices within clearing organizations and trading venues, this proposed rule is intended to make these entities less susceptible to promoting the interests of a few participants."

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Source: SEC.gov


SEC looks at OTC platform ownership limits

October 13, 2010--The prospect of ownership limits being placed on clearing houses, exchanges and other platforms handling over-the-counter derivatives moved a step closer after the US Securities and Exchange Commission voted to proceed with considering a proposal designed to prevent any one group of financial players having too much influence in them.

The move comes two weeks after the Commodity Futures Trading Commission, the US futures watchdog, voted to proceed with almost identical rules.

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Source: FT.com


Moody’s warns on refinancing risks

October 12, 2010--The credit quality of US companies may soon start to deteriorate as they take on debt to carry out share buy-backs and finance mergers and acquisitions, says a report by Moody’s Investors Service.

The credit rating agency is also concerned that companies with relatively low ratings, those at the bottom end of the “junk” or speculative grade category, may have trouble refinancing the large amounts of debt due to mature in coming years. This could lead to an increase in default rates.

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Source: FT.com


Wall Street lifted by Fed’s pledge on liquidity

October 12, 2010--US stocks were steady as gloomy predictions for US and Chinese growth were met by the Federal Reserve’s promise that fresh liquidity to purchase assets such as stocks would arrive “before long”, as its members agreed that inflation was still below levels needed to promote full employment.

The S&P 500 index erased earlier losses to close up 0.4 per cent at 1,169.77. The Nasdaq Composite index was up 0.7 per cent to 2,417.92.

The Dow Jones Industrial Average was 0.1 per cent higher at 11,020.40. All three indices were at their highest levels since May.

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Source: FT.com


Minutes of the Federal Open Market Committee, September 21, 2010

October 12, 2010-The Federal Reserve Board and the Federal Open Market Committee on Tuesday released the attached minutes of the Committee meeting held on September 21, 2010.

view the Minutes of the Federal Open Market Committee-September 21, 2010

Source: Board of Governors of the Federal Reserve System


Greifeld says no repeat of ‘flash crash’

October 12, 2010--The “flash crash” that sent shares plunging in the US five months ago could not happen again in the same way given safeguards since put in place, but the use of trading algorithms had to incorporate more “robustness” in the way they were used, the chief executive of exchange operator Nasdaq OMX, Robert Greifeld, said.

His comments came as the severe markets disruption on May 6, which has led to a loss of investor trust in the way US market structures work, has become a headache for regulators. A report by the Securities and Exchange Commission and Commodity Futures Trading Commission this month blamed a single computer trading algorithm for triggering a 1,000 point fall – and subsequent rebound – in the Dow Jones average.

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Source: FT.com


Presentation on High Frequency Traders and Asset Prices

October 12, 2010--High Frequency and Algorithmic Trading Practices and the Role of Technology in Pre- and Post-Trade Transparency in Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) and in the Flash Crash

view presentation

Source: CFTC.gov


“Flash Gordon” Opening Statement before the Technology Advisory Committee

Commissioner Bart Chilton
October 12, 2010--I thank the Technology Advisory members for their participation and Chairman O’Malia and his staff for their work in putting this meeting together. While today’s meeting is not solely about May 6th and the Flash Crash, there is no escaping that we will discuss it. In that regard, it is a most appropriate time to meet, particularly given the release of the Flash Crash staff report and the role that technology, in particular algorithmic, robotic, or flash trading played in the market crash-and-rebound on May 6th.

There was an old comic strip from the 1930’s, Flash Gordon, that was made into a movie, an animated series, and recently (2008-09) into a television series that ran on the Sci Fi channel. A buddy of mine mentioned Flash Gordon to me the other day when we were talking about the Flash Crash. He said, as an aside, that the hero, Flash Gordon, was actually called “Speed” Gordon in Australia when it first came out because the word “flash” had a negative connotation associated with it at the time. Flash, being seen as flashy or showy or even dishonest, he said.

I’m not suggesting that this type of trading is bad. In fact, robotic trading has a lot of advantages – speed, access and better audit trails to name a few. And, I’m not suggesting that robotic trading is in anyway dishonest, or showy. In fact, it is anything but showy because we aren’t necessarily “shown” anything about how exactly how these individual flash, robotic or algorithmic programs execute. They don’t show us and we don’t know unless we ask because the trading programs are proprietary information. I understand that businesses need confidentiality. They need to keep their competitive edge. But, as we have seen, this type of trading can impact markets and lead to problems. So, as regulators and folks concerned about markets, and specifically technology in markets, it seems to me that we need to get a better handle on this trading, in a comprehensive, cross-market fashion. Should this agency have staff specifically dedicated to understanding how these type of programs work?

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Source: CFTC.gov


iShares Semiconductor ETF Begins Trading on NASDAQ

SOXX ETF Based on Popular PHLX Semiconductor Sector Index
October 12, 2010--The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today announced the iShares PHLX SOX Semiconductor Sector Index Fund (Nasdaq:SOXX), the first unlevered exchange-traded fund (ETF) based on the PHLX Semiconductor Sector IndexSM (Nasdaq:SOX), will commence trading on the NASDAQ Stock Market® on October 15. This ETF is designed to track the performance of the PHLX Semiconductor Sector Index, the most widely recognized benchmark investors use to track the semiconductor industry. The index is a known institutional benchmark and is the underlying index for 27 structured products, 3 ETFs, an index option and an ETF option.

Due to increased investor interest in the PHLX Semiconductor Sector Index, iShares Exchange Traded Funds, the world's largest provider of ETFs, recently announced it changed the index, name, ticker and primary listing exchange of its semiconductor ETF.

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Source: NASDAQ OMX


Component Changes Made to Dow Jones Emerging Markets Telecommunications Titans 30 and Dow Jones Brazil Titans 20 ADR Indexes

October 12, 2010-- Dow Jones Indexes, a leading global index provider, today announced changes in the composition of the Dow Jones Emerging Markets Telecommunications Titans 30 Index and Dow Jones Brazil Titans 20 ADR Index.

In the Dow Jones Emerging Markets Telecommunications Titans 30 Index, Brasil Telecom Participacoes S/A Pref (Brazil, Telecommunications, BRTP4.BR) will be replaced by Brasil Telecom S/A Pref (Brazil, Telecommunications, BRT04.BR). Brasil Telecom Participacoes S/A Pref is being removed due to its acquisition by Brasil Telecom S/A Pref.

In the Dow Jones Brazil Titans 20 ADR Index, Brasil Telecom Participacoes S/A ADS (Brazil, Telecommunications, BRTP4.BR) will be replaced by Brasil Telecom S/A ADS (Brazil, Telecommunications, BRT04.BR). Brasil Telecom Participacoes S/A ADS is being removed due to its acquisition by Brasil Telecom S/A ADS.

The changes in the Dow Jones Emerging Markets Telecommunications Titans 30 Index and Dow Jones Brazil Titans 20 ADR Index will be effective as of the open of trading on Tuesday, November 17, 2009.

Further information on the Dow Jones Emerging Markets Telecommunications Titans 30 and Dow Jones Brazil Titans 20 ADR indexes can be found on http://www.djindexes.com

Company additions to and deletions from the Dow Jones Emerging Markets Telecommunications Titans 30 and Dow Jones Brazil Titans 20 ADR indexes do not in any way reflect an opinion on the investment merits of the company.

Source: Dow Jones Indexes


SEC Filings


September 09, 2025 Man ETF Series Trust files with the SEC-Man Active High Yield ETF and Man Active Income ETF
September 09, 2025 Tema ETF Trust files with the SEC-Tema International Durable Quality ETF
September 09, 2025 AIM ETF Products Trust files with the SEC-AllianzIM U.S. Equity Buffer5 ETF
September 09, 2025 AIM ETF Products Trust files with the SEC-AllianzIM Growth-100 Buffer5 ETF and AllianzIM Growth-100 Buffer15 ETF
September 09, 2025 AIM ETF Products Trust files with the SEC-AllianzIM International Equity Buffer5 ETF and AllianzIM International Equity Buffer15 ETF

view SEC filings for the Past 7 Days


Europe ETF News


September 04, 2025 Global X Launches Two High Dividend ETFs, Tracking Solactive European and United Kingdom SuperDividend Indices
September 03, 2025 The T+1 Thursday conundrum pushing instantaneous settlement on traders
September 01, 2025 ETF and ETP Listings on September 1, 2025, new on Xetra and Borse Frankfurt
August 29, 2025 21Shares Launches First ETP Tracking Hyperliquid, the Market Leader in Decentralized Perpetuals
August 27, 2025 ETF and ETP Listings on August 27, 2025, new on Xetra and Borse Frankfurt

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Asia ETF News


September 08, 2025 Samsung Securities Launches Two ETNs Tracking Solactive China Mobility Top 5 Hedged to KRW Index and AI Tech Top 5 Hedged to KRW Index in First Collaboration with Solactive
September 03, 2025 SGX Securities Welcomes The Listing Of SPDR J.P. Morgan Saudi Arabia Aggregate Bond UCITS ETF
September 03, 2025 BTIG Begins Offering Access To Tokyo Stock Exchange's CONNEQTOR Platform
September 03, 2025 Exclusive: US trading firm Jane Street files appeal against India markets regulator
September 02, 2025 Hana Asset Management Launches 1Q Xiaomi Value-Chain Active ETF Tracking the Solactive-KEDI Xiaomi Focus China Tech Index

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Global ETP News


September 04, 2025 Infographic-G20 Inflation Tracker: July
September 03, 2025 Ondo Brings Over 100 Tokenized U.S. Stocks and ETFs Onchain, Starting on Ethereum
August 27, 2025 FBS Analysis Highlights How Political Shifts Are Redefining the Next Altcoin Rally

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Middle East ETP News


September 02, 2025 Indxx US Infrastructure Index Licensed by KSM Mutual Funds Ltd. for an Index Tracking Fund
September 01, 2025 Lunate Launches Boreas Solactive Quantum Computing UCITS ETF, the First Thematic ETF to List on ADX, Tracking the Solactive Developed Quantum Computing Index
August 20, 2025 Mideast Stocks: Gulf bourses trade lower ahead of key Fed speech
August 14, 2025 Saudi, UAE drive GCC assets under management growth to $2.2trln
August 12, 2025 Exchanges get religion in pursuit of Muslim cryptobros

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Africa ETF News


August 24, 2025 Africa: Nigeria Leads Africa in Stablecoin Adoption With $22bn in Transactions

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ESG and Of Interest News


August 28, 2025 Collapse of critical Atlantic current is no longer low-likelihood, study finds
August 06, 2025 Why investing in Southern Africa's critical minerals is key for the global energy transition
August 04, 2025 World Cannot Recycle Its Way Out of Plastics Crisis, Report Warns
August 02, 2025 The Brain Economy: The New New Thing

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White Papers


September 08, 2025 Economic development, carbon emissions and climate policies

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