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Deutsche Börse: Knorr-Bremse And Dialog Semiconductor New In MDAX - Six Changes In SDAX - Changes To Be Effective As Of 18 March 2019

Date 05/03/2019

On Tuesday, Deutsche Börse announced changes to its selection indices, which will become effective on 18 March 2019. The shares of Knorr-Bremse AG will be included in the MDAX index and will replace the shares of Salzgitter AG, which will be included in the SDAX index. The exclusion is based on the fast-exit rule. Moreover, the shares of Dialog Semiconductor Plc will be added to MDAX. They are eligible according to the fast-entry rule. The shares of Schaeffler AG will leave the MDAX index.
CFTC Commitments Of Traders Reports Update

Date 05/03/2019

The current reports for the week of March 5, 2019 are now available.
Festivus, Fortnite, And Focus: Remarks Before The Council Of Institutional Investors Spring Conference, SEC Commissioner Hester M. Peirce, Washington D.C., March 5, 2019

Date 05/03/2019

Thank you, Mary [Francis], for that kind introduction and for the opportunity to be here today. Before I begin, I will give my standard disclaimer. The comments I make today represent my own views and not necessarily those of the Commission or my fellow Commissioners.
FINRA Fines Cantor Fitzgerald $2 Million For Regulation SHO Violations And Supervisory Failures - Firm Required To Retain An Independent Consultant

Date 05/03/2019

FINRA announced today that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of at least five years. As part of the settlement, Cantor also agreed to retain an independent consultant to conduct a comprehensive review of the firm’s policies, systems, procedures and training related to Reg SHO.
CFTC March 7 Open Meeting Cancelled

Date 05/03/2019

The Commodity Futures Trading Commission Open Meeting scheduled for Thursday, March 7, 2019 has been cancelled. The matters under consideration are being resolved through the Commission’s seriatim process.

SEC: BB&T To Return More Than $5 Million To Retail Investors And Pay Penalty Relating To Directed Brokerage Arrangements

Date 05/03/2019

The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000 penalty to settle charges that a firm it acquired misled its advisory clients into believing they were receiving full service brokerage services in-house at a discount while significantly less expensive options were available externally.
EIOPA And Its Members Agree On No-Deal Brexit Memoranda Of Understanding With The Bank Of England And The Financial Conduct Authority

Date 05/03/2019

The European Insurance and Occupational Pensions Authority (EIOPA) and all National Competent Authorities (NCAs) of the European Economic Area (EEA) with competencies in insurance have agreed Memoranda of Understanding (MoUs) with the Bank of England in its capacity as the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) of the United Kingdom (UK).
Bank Of England And Financial Conduct Authority Agree Memoranda Of Understanding (MoUs) With EIOPA And EU Insurance Supervisors

Date 05/03/2019

The Prudential Regulation Authority (PRA), Financial Conduct Authority (FCA) and European Insurance and Occupational Pensions Authority (EIOPA) are announcing today that they have agreed Memoranda of Understanding (MoUs) regarding supervisory cooperation and information-sharing arrangements with respect to UK and EU/EEA insurance companies.
Bulgarian Stock Exchange Approved The First Advisor On The SME Growth Market BEAM

Date 05/03/2019

Bulgarian Stock Exchange approved Aval In Investment Intermediary as the first consulting company, the so-called advisor, on the SME Growth Market BEAM. The Investment Intermediary will consult and support small and midsize companies in the process of their listing on the Growth Market BEAM and in the period of their trading. Aval In is operating on the capital market of our country for more than 25 years.
Vienna Stock Exchange: Composition Of Austrian Leading Index ATX Remains Unchanged

Date 05/03/2019

The semi-annual review of the Austrian benchmark index ATX in accordance with the rules and regulations does not result in any changes to the composition or free float factors. Other benchmarks such as the ATX five or the ATX prime also remain unchanged. Calculation parameters such as free float factors will be reviewed again as scheduled on Tuesday, 4 June 2019. The next review of the composition of Austrian benchmarks is scheduled for Tuesday, 3 September 2019.