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  • S&P Dow Jones Indices Europe Dashboard

    Date 31/12/2020

    Europe  

    • Despite rallying in the fourth quarter, the S&P Europe 350® finished 2020 below where it began, thanks in no small part to its largest country by weight, the United Kingdom. 
    • Information Technology finished the year as the clear winner among sectors, while European Financials had another year of woe. 
    • One of the unsung stories of the year in Europe was the strength of the euro, which gained 6% versus GBP and 8% versus USD during 2020.  

  • FINRA Orders Worden Capital Management LLC To Pay More Than $1.2 Million In Restitution To Customers Whose Accounts Were Excessively Traded - Firm Also Fined $350,000 For Failing To Reasonably Supervise Recommended Securities Transactions And Other Violations

    Date 31/12/2020

    FINRA announced today that it sanctioned Worden Capital Management LLC (WCM) more than $1.5 million, including approximately $1.2 million in restitution to customers whose accounts were excessively traded by the firm’s representatives, and a $350,000 fine for supervisory and other violations. As part of the settlement, WCM must also retain an independent consultant to conduct a comprehensive review of the relevant portions of the firm’s supervisory systems and procedures.

  • BOX Options: Fee Change – January 2021

    Date 31/12/2020

    Effective January 4, 2021, BOX Options (“BOX”) is removing Section III (Liquidity Fees and Credits) of the BOX Fee Schedule and establishing Break-Up Credits in (1) Section I.B (PIP and COPIP Transactions); (2) Section I.C (Facilitation and Solicitation Transactions); and (3) Section I.C.2 (Strategy Order Facilitation and Solicitation Transactions).1 BOX is redistributing the fees and rebates outlined in current Section III to the appropriate places within the respective fee structures discussed above. 

  • CFTC Commitments Of Traders Update

    Date 31/12/2020

    In lieu of the federal holiday on Friday, January 1, 2021, the weekly Commitments of Traders (COT) market report will be released on Monday, January 4, 2021.

  • MIAX Options And PEARL Options Exchanges - January 1, 2021 Fee Changes

    Date 31/12/2020

    Effective January 1, 2021, pending filing with the SEC, the MIAX Options and PEARL Options Fee Schedules will be amended.