FTSE Mondo Visione Exchanges Index:
News Centre
-
Date 25/06/2014
SEC Announces Order For Tick Size Pilot Plan - Pilot To Assess Impact Of Tick Size On Market Quality For Small Cap Companies
The Securities and Exchange Commission today announced that it has ordered the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to act jointly to develop and file with the Commission a national market system plan to implement a targeted 12 month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain small capitalization stocks. The Commission plans to use the program to assess whether these changes would enhance market quality to the benefit of U.S. investors, issuers, and other market participants.
-
Date 25/06/2014
SIFMA Statement On Passage Of National Cybersecurity And Communications Integration Center Act Of 2014 by Senate Committee
SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO on the passage of the National Cybersecurity and Communications Integration Center Act of 2014 by the Senate Committee on Homeland Security and Governmental Affairs:
"SIFMA and its members applaud Chairman Carper and Ranking Member Coburn for their leadership in pushing forward important legislation which could lead to enhanced cybersecurity. The National Cybersecurity and Communications Integration Center (NCCIC), along with the Financial Services - Information Sharing and Analysis Center (FS-ISAC), is an integral part of the financial services sector's information sharing processes. We applaud the legislation's codification of the NCCIC and its recognition of the capabilities that the NCCIC provides to the financial services sector as well as the critical infrastructure sectors that we rely on to operate." -
Date 25/06/2014
Barclays PLC: Complaint Filed By New York State Attorney General
Barclays notes the Complaint filed by the New York State Attorney General this afternoon in the New York State Courts. The Complaint relates to the Attorney General’s investigation of LX Liquidity Cross, which is Barclays’ SEC-registered Alternative Trading System and which provides alternative liquidity to market participants. The Complaint makes a number of allegations, including fraud and deceptive practices. Amongst other relief, the Complaint seeks unspecified monetary damages and injunctive relief.
-
Date 25/06/2014
Cross-Border Security-Based Swap Rules And Guidance, SEC Commissioner Kara M. Stein, Washington, D.C., June 25, 2014
I want to begin by thanking Brian Bussey, Richard Gabbert, Joshua Kans, and Margaret Rubin from Trading and Markets; Brooks Shirey and Lori Price from the General Counsel’s office; and Liban Jama from the Chair’s staff for all of their hard work on this rule.
-
Date 25/06/2014
New York Attorney General Eric Schneiderman Announces Fraud Charges Against Barclays In Connection With Marketing And Operation Of Its Dark Pool - Investigation Into Barclays’ Dark Pool And Electronic Trading Business Uncovered An Alleged Pattern Of Fraud And Deceit, Misrepresentations To Investors
Attorney General Eric Schneiderman today announced a lawsuit against the international bank Barclays, arising from the operation of Barclays’ dark pool and other aspects of its electronic trading division. The complaint alleges Barclays has dramatically increased the market share of its dark pool through a series of false statements to clients and investors about how, and for whose benefit, Barclays operates its dark pool. Contrary to Barclays’ representations that it has implemented special safeguards to protect clients from “aggressive” or predatory high-frequency traders, Barclays is accused of operating its dark pool to favor high-frequency traders.
-
Date 25/06/2014
SEC Announces Fraud Charges Against Three Former Regions Bank Executives In Accounting Scheme
The Securities and Exchange Commission today announced fraud charges against three former senior managers of Regions Bank for intentionally misclassifying loans that should have been recorded as impaired for accounting purposes. As a result, the bank’s publicly-traded holding company overstated its income and earnings per share in its financial reporting.
-
Date 25/06/2014
FINRA Hearing Panel Expels Success Trade Securities And Bars CEO Fuad Ahmed For Fraudulent Scheme - Ordered To Pay $13.7 Million In Restitution - Majority Of Defrauded Investors Were NFL And NBA Players
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled Washington, D.C.-based Success Trade Securities, Inc. from membership and barred its CEO and President, Fuad Ahmed, for the fraudulent sale of promissory notes and for creating a Ponzi scheme. In addition, the firm and Ahmed are jointly and severally ordered to pay approximately $13.7 million in restitution to 59 investors, the majority of whom were current and former NFL and NBA players.
-
Date 25/06/2014
SEC Charges Former Brokers With Trading Ahead Of IBM-SPSS Acquisition
The Securities and Exchange Commission today announced it has charged two additional brokers with trading on inside information ahead of the $1.2 billion acquisition of SPSS Inc. in 2009 by IBM Corporation.
-
Date 25/06/2014
CBOE, C2 And CFE Trading Schedule For Independence Day Holiday
CBOE Holdings, Inc. (NASDAQ: CBOE) announced the following trading schedule for Chicago Board Options Exchange® (CBOE®), C2 Options ExchangeSM (C2SM) and CBOE Futures ExchangeSM (CFE®) in observance of Independence Day holiday:
-
Date 25/06/2014
Final Rules Relating To Cross-Border Security-Based Swap Activities, SEC Commissioner Daniel M. Gallagher, Washington, D.C., June 25, 2014
Thank you, Chair White. I would like to join my colleagues in thanking the staff for all the hard work that went into preparing today’s final rule. In particular, I would like to acknowledge the dedicated efforts of Brian Bussey, Richard Gabbert, Josh Kans, and Margaret Rubin of the Division of Trading and Markets. I also want to acknowledge the excellent work of the staff of the Division of Economic and Risk Analysis and the Office of General Counsel. And I would be remiss if I didn’t make special mention of Steve Luparello, director of the Division of Trading and Markets. Steve, I am glad you chose to serve the country again in your new role, and you have been off to a terrific start.
- First
- Previous
- 10655
- 10656
- 10657
- 10658
- 10659
- 10660
- 10661
- 10662
- 10663
- 10664
- 10665
- 10666
- 10667
- 10668
- 10669
- 10670
- 10671
- Next
- Last