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SEC Sanctions Two Former Defense Contractor Employees For FCPA Violations

Date 17/11/2014

The Securities and Exchange Commission today sanctioned two former employees in the Dubai office of a U.S.-based defense contractor for violating the Foreign Corrupt Practices Act (FCPA) by taking government officials in Saudi Arabia on a “world tour” to help secure business for the company. The two employees later falsified records in an attempt to hide their misconduct.
NYSE To Host Floor Broker Charity Trading Day – Friday, November 21, 2014

Date 17/11/2014

The New York Stock Exchange, part of the Intercontinental Exchange (NYSE: ICE) global network of exchanges, announced today that the NYSE Floor Broker Charity Trading Day will take place on Friday, November 21, 2014.
SEC Charges Three Penny Stock Promoters Behind Pump-And-Dump Schemes

Date 17/11/2014

The Securities and Exchange Commission today charged three penny stock promoters with conducting pump-and-dump schemes involving stocks they were touting in their supposedly independent newsletters.
Thomas Sullivan, Senior Adviser, Division Of Banking Supervision And Regulation, International Insurance Regulation, Before The Subcommittee On Housing And Insurance, Committee On Financial Services, U.S. House Of Representatives, Washington, D.C.

Date 17/11/2014

Chairman Neugebauer, Ranking Member Capuano, and other members of the subcommittee, thank you for inviting me to testify on behalf of the Federal Reserve.
SEC Charges San Francisco-Based Penny Stock Company CEO For Defrauding Investors In Pump-And-Dump Scheme

Date 17/11/2014

The Securities and Exchange Commission today charged a San Francisco-based penny stock company CEO with defrauding investors by issuing false and misleading press releases portraying his purported marketing and infomercial company as a successful venture in order to drive the stock price up while he covertly sold millions of shares into the public market for more than $300,000 in illicit profits.

DGCX - Passing Of Former CEO Gary Anderson

Date 17/11/2014

DGCX confirms with deep sadness that the Exchange's former CEO Gary Anderson passed away on the 13th November in London. Gary had been fighting cancer for the last few months and had stepped down as CEO in October. In the two years that he served as CEO of DGCX, his vision, passion and leadership made a huge difference to the development of the Exchange's business and all of the team.
EnterNext Announces Measures To Boost Tech Sector At Its Tech Conference

Date 17/11/2014

EnterNext, the Euronext subsidiary designed to promote and grow the market for SMEs, announced three new measures to assist tech companies and raise their profile with investors. The announcement came at the first EnterNext Tech Conference, held today in Paris.
MIAX Options Holiday Schedule - Thanksgiving

Date 17/11/2014

Please be advised the MIAX Options Exchange will be closed on Thursday, November 27, 2014 in observance of the Thanksgiving Holiday.
FINRA And MSRB Release Proposals To Provide Pricing Reference Information For Investors In Fixed Income Markets

Date 17/11/2014

The Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) today released companion proposals that would require disclosure of pricing reference information on customer confirmations for transactions in fixed income securities. The proposals are substantially similar but seek input on factors unique to the corporate and municipal bond markets.
ICE Futures Europe Announces Launch Of Two Energy Contracts

Date 17/11/2014

Intercontinental Exchange (NYSE:ICE), the leading global network of exchanges and clearing houses, today announced the introduction of two new energy futures contracts on December 1, 2014.