News Centre

Direct Edge Trading Notice #13-26: Direct Edge Retail Order Designation Update

Date 26/06/2013

Effective immediately, Direct Edge® has updated the requirements for designating Retail Orders for Members that submit orders to EDGX Exchange, Inc. (EDGX®) on behalf of their retail customers.  Members can now designate an order as a Retail Order: (i) if they meet a pre-defined set of criteria described in footnote 4 to the EDGX Fee Schedule and (ii) submit a signed Attestation Form that they have implemented policies and procedures that are reasonably designed to ensure that substantially all orders designated as Retail Orders comply with such criteria.

SEC Charges Medical Imaging Device Company And Its CEO With Fraud

Date 26/06/2013

The Securities and Exchange Commission today announced that it filed fraud charges on Tuesday against Burbank, Calif.-based Imaging3, Inc., and its founder and chief executive Dean Janes for misleading shareholders about the Federal and Drug Administration (FDA)’s view of the company’s medical device.

Interim Revision Of The LuxX Index On 1 July 2013

Date 26/06/2013

In accordance with the rules governing the LuxX index, the executive committee of the Luxembourg Stock Exchange has decided to rebalance the LuxX index (base 1,000 as at 04/01/1999).

Elaine C. Greenberg To Leave SEC After More Than 25 Years

Date 26/06/2013

The Securities and Exchange Commission today announced that Elaine C. Greenberg, Chief of the Enforcement Division’s Municipal Securities and Public Pensions Unit and Associate Director of the Philadelphia Regional Office, is leaving the agency after more than 25 years of service.

Nordic Growth Market NGM AB: NGM Welcomes SG Issuer As New Issuer At NDX

Date 26/06/2013

Nordic Growth Market (NGM) is proud to announce that SG Issuer has become a new issuer at NDX. SG Issuer’s first listing took place on June 24, 2013.

Balance Of Interests - Speech By Martin Wheatley, Chief Executive, The FCA, At The International Derivatives Expo, London

Date 26/06/2013

Thank you for that kind introduction Anthony. It’s a pleasure to be here today and to share in your discussions.

This is a good and a bad time for a regulator to be speaking at a major derivatives conference.

Bursa Malaysia Derivatives' Total Contracts Hit Daily Historical High

Date 26/06/2013

The volumes traded on Bursa Malaysia Derivatives (BMD) reached a new historical high of 87,123 contracts on Tuesday, 25 June 2013, surpassing the previous record of 84,359 contracts achieved on 29 October 2012. The volumes include Negotiated Large Trades.

Finansinspektionen (FI) Swedish Financial Supervisory - ICA Banken AB Receives A Remark

Date 26/06/2013

ICA Banken AB did not report to Finansinspektionen (FI) that the Bank had a new owner, which it is obligated to do. As a result of this breach, the Bank is receiving a remark.

Statement By European Commissioner Michel Barnier Following Today's Agreement On European Rules On Market Abuse

Date 26/06/2013

I welcome today's endorsement by Coreper of the political agreement between the Council and the European Parliament on tougher rules to better prevent, detect and punish market abuse. While key elements of the scope of the Market Abuse Regulation will need to be aligned with the political agreement on our related MIFID 2 proposals, it's my belief that we now have all the elements for a final agreement on this text which is essential for market integrity in Europe.

UK’s Financial Conduct Authority Sponsors London Stock Exchange As A Pre-Local Operating Unit

Date 26/06/2013

• London Stock Exchange will assign interim Legal Entity Identifiers 
• Interim Entity Identifier codes  will satisfy new reporting requirements under EMIR 
• UnaVista expected to start allocating new IEI codes from July 2013