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SEC Chairman Clayton Invites Main Street Investors To ‘Tell Us’ About Their Investor Experience - Roundtables Will Be Held Across The Country To Hear From Investors

Date 29/06/2018

Securities and Exchange Commission Chairman Jay Clayton is inviting Main Street investors from around the country to ‘Tell Us’ about their investor experience through roundtable discussions in several cities. In these roundtables, Main Street investors will be able to speak directly with Chairman Jay Clayton and senior SEC staff about our efforts to enhance retail investor protection and promote choice and access to a variety of investment services and products.
Federal Reserve Board Releases Annual Determination Of Aggregate Consolidated Liabilities Of Financial Companies

Date 29/06/2018

The Federal Reserve Board on Friday released its annual determination of the aggregate consolidated liabilities of financial companies as required by section 622 of the Dodd-Frank Act. The act prohibits a financial company from combining with another company if the resulting company's liabilities would exceed 10 percent of the aggregate consolidated liabilities of all financial companies.
Nigerian Stock Exchange Reveals Results Of Biannual Review Of Market Indices

Date 29/06/2018

The Nigerian Stock Exchange (NSE) has announced the results of the biannual review for The NSE 30, NSE Lotus Islamic, NSE Pension and the five Sectoral Indices of The Exchange - NSE Banking, NSE Insurance, NSE Industrial and NSE Oil & Gas. The composition of these indices after the review will be effective on Monday July 2, 2018.
OneChicago Independence Day Holiday Trading Hours

Date 29/06/2018

In observance of the upcoming holiday, OneChicago will follow the schedule below, which is consistent with U.S. equity markets. OneChicago will be open on Thursday, July 5, 2018.
SEC Charges Morgan Stanley In Connection With Failure To Detect Or Prevent Misappropriation Of Client Funds

Date 29/06/2018

The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney (MSSB) has agreed to pay a $3.6 million penalty and to accept certain undertakings for its failure to protect against its personnel misusing or misappropriating funds from client accounts

Nigerian Stock Exchange Weekly Stock Market Report For June 29th 2018

Date 29/06/2018

A total turnover of 2.004 billion shares worth N21.582 billion in 18,534 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 1.097 billion shares valued at N15.471 billion that exchanged hands last week in 16,288 deals.
SEC Charges New York-Based Firm And Supervisors For Failing To Supervise Brokers Who Defrauded Customers

Date 29/06/2018

The Securities and Exchange Commission today charged New York-based broker-dealer Alexander Capital L.P. and two of its managers for failing to supervise three brokers who made unsuitable recommendations to investors, “churned” accounts, and made unauthorized trades that resulted in substantial losses to the firm’s customers while generating large commissions for the brokers.
IISL Index Dashboard For The Month Ended June 2018

Date 29/06/2018

The India Index Services & Products Ltd. (IISL) is a subsidiary of National Stock Exchange Of India, the largest Stock Exchange in India. Click here to download the 'IISL Index Dashboard' for the month ended June 2018.
Statement On Final Rule Of Inline XBRL Filing Of Tagged Data, SEC Commissioner Hester M. Peirce

Date 29/06/2018

Thank you, Mr. Chairman. I want to extend my thanks to the staff for their work on this rule. The rule is the result of close collaboration among DERA, CorpFin, and IM. I appreciate the hard work that each of these divisions, as well as the Office of General Counsel, has contributed to the final product.
US Federal Agencies Seek Comment On Proposed 2019 Resolution Plan Guidance

Date 29/06/2018

The Federal Deposit Insurance Corporation and the Federal Reserve Board on Friday announced they are seeking public comment on revised resolution plan guidance for the eight largest, most complex U.S. banks. Resolution plans, commonly known as living wills, must describe the company's strategy for rapid and orderly resolution under bankruptcy in the event of material financial distress or failure of the company. The resolution planning process helps ensure that a firm's failure would not have serious adverse effects on the financial stability of the United States.