News Centre

MIAX Options Exchange Will Participate In SIFMA's October 25, 2014 Industry-Wide Business Continuity Test

Date 23/09/2014

The MIAX Options Exchange will participate in the SIFMA 2014 industry-wide business continuity test on Saturday, October 25, 2014 from 9:00 AM to 1:00 PM EST.

SEC Charges Two Florida-Based Attorneys For Roles In Offering Fraud By Transfer Agent

Date 23/09/2014

The Securities and Exchange Commission today charged two Florida-based attorneys for their roles in an offering fraud conducted by a transfer agent that was the subject of an SEC enforcement action two months ago.

CFTC Charges Ohio Resident John R. Bullar And His Company, Executive Management Advisors L.L.C., With Fraud And Embezzlement In Operating An $8.3 Million Commodity Pool And Ponzi Scheme

Date 23/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) today filed a federal civil enforcement action in the U.S. District Court for the Southern District of Ohio against Defendants John R. Bullar, who resides in Cincinnati, Ohio, and Executive Management Advisors L.L.C., a company organized in Ohio and of which Bullar was the sole principal. The CFTC Complaint charges that the Defendants, while acting as Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs), fraudulently solicited over $8.3 million from at least 40 investors for pooling and trading in futures and options; provided participants with false account statements; embezzled and misappropriated participants’ funds; and acted as CPOs and CTAs while failing to register as such with the CFTC.

SEC Charges Purported Health Food Company And CEO With Issuing False Press Releases In Microcap Fraud - Transfer Agent Also Charged For Missing Red Flags In Unlawful Distribution Of Shares Used In Scheme

Date 23/09/2014

The Securities and Exchange Commission today charged a Florida-based penny stock company and its CEO with defrauding investors by issuing false and misleading press releases proclaiming large sales and fantastic revenue projections while the purported health food company actually was a failing enterprise.  

WSE Focuses On Organic Growth

Date 23/09/2014

• The WSE Management Board is to focus on the Polish capital market and to fully leverage its potential; therefore, WSE is not considering a capital alliance with CEE Stock Exchange Group AG at this time
• The current goals of WSE include organic growth, including development of international business, increasing attractiveness to market participants, and enhancing shareholder value
• WSE remains open to cooperation with various players in the region, including CEESEG, to make Central and Eastern Europe a more attractive place for investment
• WSE does not rule out returning to the concept of capital alliance with CEESEG in the future

SEC Charges Barclays Capital With Systemic Compliance Failures After Acquiring Lehman’s Advisory Business

Date 23/09/2014

The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008. 

Moscow Exchange Holds Meeting Of Supervisory Board

Date 23/09/2014

The Supervisory Board of Moscow Exchange met on 23 September. The meeting was chaired by Supervisory Board Chairman Alexey Kudrin.

TMX Quantum XA Launched On TSX Venture Exchange - TMX Group Launches Award-Winning Trading Engine On Canada's Public Venture Capital Marketplace

Date 23/09/2014

TMX Group today announced the successful launch of its high performance equity trading engine, TMX Quantum XA™ on TSX Venture Exchange.

ACER Infoflash 23 September 2014 - A Bridge To 2025: Regulators Foresee Much Greater Participation Of Smaller Energy Consumers In Energy Markets

Date 23/09/2014

Liquid, integrated electricity and gas markets, with a higher penetration of renewables and the consequent higher requirements for flexible response, as well a more active participation of smaller consumers are the trends foreseen for the next decade in the ACER Conclusions Paper “Energy Regulation: A Bridge to 2025”. 

Luxembourg Stock Exchange Welcomes Two Debut Sukuk Issuers: South Africa And Goldman Sachs

Date 23/09/2014

This week, the Luxembourg Stock Exchange (LuxSE) welcomes Goldman Sachs and the Republic of South Africa as two new issuers of sukuk, or Islamic bonds, underscoring Luxembourg’s commitment to developing Islamic finance.