News Centre

NASDAQ OMX Issues Statement On The Securities Information Processor

Date 04/09/2013

NASDAQ OMX issued the following statement:

Today between 11.35 and 11.41 a.m. the Securities Information Processor (SIP) experienced a brief outage in one of the quote dissemination channels, specifically in symbols through PC through SPZ. The issue has been resolved and UTP SIP is reviewing the incident.  All quotes are currently disseminating normally. Trading has not been affected. 

CFTC Orders Florida Resident Isaac Grossman And His Company, London Metals Market LLC, To Pay Over $121,000 In Restitution For Illegal, Off-Exchange Precious Metals Transactions

Date 04/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Isaac Grossman, a resident of Parkland, Florida, and his company, London Metals Market LLC (London Metals), of Deerfield Beach, Florida, for engaging in illegal, off-exchange precious metals transactions.

Paula Dubberly, Deputy Director In Division Of Corporation Finance, To Retire After More Than 20 Years At SEC

Date 04/09/2013

The Securities and Exchange Commission today announced that Paula Dubberly, Deputy Director of the Division of Corporation Finance, is retiring from the agency later this month after more than 20 years of service.

CFTC Orders Florida Resident Matthew L. Hall To Pay Over $200,000 In Restitution For Illegal, Off-Exchange Precious Metals Transactions

Date 04/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Matthew L. Hall, individually and doing business as Pacific Exchange Group (PEG), for engaging in illegal, off-exchange precious metals transactions. Hall resides in West Palm Beach, Florida, and PEG is a telemarketing firm with a virtual office in Henderson, Nevada. Neither Hall nor PEG has ever been registered with the CFTC.

European Commission Communication On Shadow Banking: Frequently Asked Questions

Date 04/09/2013

1. What is shadow banking?

Shadow banking can be defined as a system of credit intermediation that involves entities and activities outside the regular banking system. 

The Options Industry Council Announces Equity Options Seminar Schedule For Fall 2013

Date 04/09/2013

The Options Industry Council (OIC) recently announced its seminar schedule for fall. The seminars focus on basic, intermediate and advanced options topics as well as volatility and the Greeks. The fall lineup will also debut an interactive introduction to options workshop, which will be held in Houston, TX; New Brunswick, NJ; and Tampa, FL.

European Commission: New Rules For Money Market Funds Proposed – Frequently Asked Questions

Date 04/09/2013

WEF Global Competitiveness Report 2013-2014: South Africa Ranks First In Regulation Of Securities Exchanges

Date 04/09/2013

The latest World Economic Forum (WEF) Global Competiveness Report ranks South Africa first out of 148 countries for regulation of securities exchanges for the fourth consecutive year. This, together with several other elements of the report, points to the country’s exchange as a sound environment in which to invest.

Warsaw Stock Exchange: Derivatives Market In August 2013

Date 04/09/2013

• The volume of trading in all derivatives was 0.97 m instruments in August 2013.
• The number of open interest was 269 thousand at the end of August 2013.

European Commission’s Roadmap For Tackling The Risks Inherent In Shadow Banking

Date 04/09/2013

The Commission has today adopted a communication on shadow banking and proposed new rules for money market funds (MMFs).