News Centre

SIFMA Comments On SEC Staff Analysis On Money Market Fund Reform

Date 24/04/2014

SIFMA today submitted a comment letter to the Securities and Exchange Commission (SEC) in response to the SEC Staff Analysis of Data and Academic Literature Related to Money Market Fund Reform. SIFMA's letter was submitted jointly by SIFMA's Asset Management Group and Private Client Group.

Platts Adds Bakken Price Assessment In The Williston Basin To Its Shale Offerings - New Price Marker To Reflect Expanding Crude-By-Rail Market For Bakken - Complements Platts’ Bakken Assessments At Pipeline Injection Points

Date 24/04/2014

Platts today announced it has expanded its North American shale crude oil offering to include an assessment of value nearest the Bakken crude wellhead in the Williston Basin. The new price assessment captures the value of Bakken crude oil from the Bakken shale formation at the point where there is transportation flexibility– either by rail or pipeline.

Bank Of England: Minutes Of The Monetary Policy Committee Meeting Held On 9 April 2014

Date 23/04/2014

The Governor invited the Committee to vote on the propositions that:

• Bank Rate should be maintained at 0.5%;
• The Bank of England should maintain the stock of purchased assets financed by the issuance of central bank reserves at £375 billion.

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.