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SEC Issues Stop Order To Prevent Northern California Company From Issuing Stock Under Amended Registration Statement

Date 23/04/2014

The Securities and Exchange Commission today issued a stop order to prevent a Northern California-based company from issuing stock after including false and misleading information in its amended registration statement for an initial public offering (IPO).
SEC Charges Technology Company Insider In California With Tipping Confidential Information Exploited By Hedge Funds

Date 23/04/2014

The Securities and Exchange Commission today filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped a friend with confidential company information that set in motion a chain of tipping and illegal trading among a network of hedge fund traders who reaped millions of dollars in illicit gains.
SEC Charges Former Stock Promoter With Defrauding Investors In Florida Real Estate Venture

Date 23/04/2014

The Securities and Exchange Commission today filed fraud charges against a former Florida-based stock promoter currently serving a two-year prison sentence for lying to SEC investigators.
Direct Edge Trading Notice #14-14: Enhancement To ROOC Routing Strategy

Date 23/04/2014

EDGX ExchangeSM (EDGX®) and EDGA ExchangeSM (EDGA®) are updating the behavior of the ROOC routing strategy. The ROOC routing strategy is designed to allow Members to participate in the opening and/or closing process of a security’s listing market. Effective Monday, June 2, 2014 for EDGA and Monday, June 9, 2014 for EDGX, the ROOC routing strategy will also route orders to participate in the listing market’s re-opening process following a halt, suspension or pause.
Thomson Reuters Again Wins Operational Risk Software Provider Of The Year Award In Operational Risk And Regulation Awards 2014 - Thomson Reuters Accelus Risk Manager Recognized For Flexibility And Ease Of Use

Date 23/04/2014

Thomson Reuters, the world’s leading source of intelligent information for businesses and professionals, today announced that it has been awarded the Operational Risk Software Provider of the Year Award in the Operational Risk and Regulation Awards, 2014. This is the second consecutive year that Thomson Reuters has been awarded this achievement.

Mauri Osheroff To Retire After Nearly 40 Years At SEC

Date 23/04/2014

The Securities and Exchange Commission today announced that Mauri L. Osheroff, associate director for regulatory policy in the Division of Corporation Finance, is retiring on April 30 after nearly 40 years at the SEC.
Moscow Exchange Supervisory Board Resolutions

Date 23/04/2014

At its 23 April 2014 meeting, Moscow Exchange"s Supervisory Board set the 2014 Annual General Meeting (AGM) for 26 June 2014.
ESMA Comments On The IFRS Interpretations Committee's Decisions On IAS And IFRS

Date 23/04/2014

The IFRS Interpretation Committee published in February the IFRIC Update asking for comments on multiple tentative agenda decisions.
DTCC To Partner With Industry To Implement T+2 Settlement Cycle In U.S. Financial Markets - Move To T+2 Will Reduce Operational And Systemic Risk By Limiting Exposure And Creating Greater Efficiencies

Date 23/04/2014

The Depository Trust & Clearing Corporation (DTCC) released a white paper today outlining the rationale for supporting a move to shorten the settlement cycle (SSC) in the U.S. financial markets for equities, corporate and municipal bonds and unit investment trust (UIT) trades. DTCC’s view is that shortening the time period between trade execution and settling payment for U.S. cash securities transactions protects the financial markets by reducing credit and liquidity risks to both the industry and the individual investor.
Industry Welcomes European Parliament’s Vote On European Long-Term Investment Funds

Date 23/04/2014

The European Fund and Asset Management Association (EFAMA), the European Private Equity and
Venture Capital Association (EVCA) and the Federation of European Securities Exchanges (FESE), three leading EU associations with members which actively promote the financing of long term investments, welcome the adoption by the European Parliament of its report on European Long-term Investment Funds (ELTIFs) on 17th April 2014.