News Centre

Autorité Des Marchés Financiers: On-Line Trading Platforms – Updated List Of Unauthorized Sites

Date 14/11/2014

The Autorité des marchés financiers (the “AMF”) is notifying Québec consumers that it recently identified an on-line binary options trading platform that is not authorized to offer products and services in Québec: amberoptions.com. Quebeckers should therefore not trade via this website.

CFTC Staff Issues Extension To Time-Limited No-Action Letter On The Applicability Of Transaction-Level Requirements In Certain Cross-Border Situations

Date 14/11/2014

U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Divisions of Swap Dealer and Intermediary Oversight (DSIO), Clearing and Risk, and Market Oversight (Divisions) today issued a time-limited no-action letter that extends relief to swap dealers (SDs) registered with the Commission that are established under the laws of jurisdictions other than the United States (Non-U.S. SDs) from certain transaction-level requirements under the Commodity Exchange Act.

BATS 1000 Index Up 0.1 Percent This Week

Date 14/11/2014

BATS Global Markets (BATS), a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) was flat this week, rising 28.62 points to close at 22,763.64 or .1 percent over last Friday’s close.

SIFMA Announces Diversity Leadership Awards

Date 14/11/2014

SIFMA today announced its 2014 Diversity Leadership Awards Recipients: Prudential Financial, Inc. and Goldman Sachs & Co. The firms will be presented with the awards at a lunch ceremony at SIFMA's 2014 Diversity Conference in St. Louis.

Remarks At The 15th Annual "Live From The SEC" Conference - SEC Commissioner Kara M. Stein, Washington DC., Nov. 13, 2014

Date 14/11/2014

Thank you, Jeff Rubin, for the kind introduction.  Good morning to everyone (or good evening to those joining from London).  It’s a pleasure to be here and to be a part of this annual event which brings together some of the Commission’s best and brightest to discuss international securities regulation and enforcement.

Banks "Paralyzed" By Surveillance Requirements

Date 14/11/2014

Many banks are still "paralyzed" by new surveillance requirements according to Nigel Cannings, CTO of compliance and speech technology experts Intelligent Voice®.

CFTC Commitments Of Traders Reports Update

Date 14/11/2014

The current reports for the week of November 11, 2014 are now available.

MIAX Options - Change To Allow Orders Of Any Size To Initiate A PRIME Auction At Or Better Than The NBBO - Effective December 1, 2014

Date 14/11/2014

The MIAX Options Exchange filed to amend MIAX Rule 515A regarding PRIME to allow orders of any size to initiate a PRIME Auction on MIAX at a price which is at or better than the national best bid or offer (“NBBO”).  The change will take effect on December 1, 2014.

SEC Charges Business Owner And Stockbroker In Maryland-Based Offering Fraud

Date 14/11/2014

The Securities and Exchange Commission today charged the owner of a Maryland-based real estate company with conducting an offering fraud and spending investor money on such personal expenses as his mortgage, country club dues, and season tickets to the Baltimore Ravens.  The agency also charged a former stockbroker for participating in the scheme.

Direct Edge Trading Notice #14-51: EDGA Functionality Changes

Date 14/11/2014

Effective Monday, November 17, 2014, the EDGA ExchangeSM (EDGA®) will make the following functionality changes:

• Modify the behavior of Hide Not Slide (HNS) and Price Adjust orders entered with a Post Only instruction. Refer to Direct Edge Trading Notice #14-36 for more details.
• Modify the behavior of the Opening Process for NYSE and NYSE MKT listed securities and the Halt Re-Opening Process for all securities. Refer to Direct Edge Trading Notice #14-38 for more details.