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MIAX PEARL Listing Alert: Dropbox, Inc. (DBX)

Date 28/03/2018

The option class listed below will begin trading on the MIAX PEARL Options Exchange on Thursday, March 29, 2018.
FINRA Fines Aegis Capital Corp. $550,000 For Anti-Money Laundering And Supervision Rule Violations

Date 28/03/2018

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML) programs tailored to detect "red flags" or suspicious activity connected to its sale of low-priced securities.
BOX Options Exchange April Fee Change

Date 28/03/2018

Effective April 2, 2018, BOX Options Exchange, LLC (“BOX”) is amending Section II.D of the Fee Schedule (Strategy QOO Order Fee Cap). The manual transaction fees will now be capped at $1,000 each day for all reversal, conversion, jelly roll, and box spread strategies1 executed on the same trading day, regardless of option class.
ESMA Is Closed For The Easter Break

Date 28/03/2018

ESMA is closed from Thursday 29 March and will reopen on Tuesday 3 April.
Nasdaq Announces 16% Increase In Quarterly Dividend To $0.44 Per Share

Date 28/03/2018

The Board of Directors of Nasdaq, Inc. (Nasdaq:NDAQ) has declared a regular quarterly dividend of $0.44 per share on the company's outstanding common stock, an increase of 16% from the $0.38 per share quarterly dividend.

OTC Markets Group Launches New Stock Promotion Flag - Latest Data Points Provide Increased Market Transparency And Disclosure

Date 28/03/2018

OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, today released a new stock promotion flag that will enable investors to easily identify securities that are the subject of current promotional activity. This new flag, which is shaped like a megaphone, will appear on the promoted company's quote page on otcmarkets.com.
ESMA Publishes Official Translations For Three Sets Of Guidelines Under CSDR

Date 28/03/2018

The European Securities and Markets Authority (ESMA) has published today the official EU language versions of three sets of Guidelines under the Central Securities Depository Regulation (CSDR).
IOSCO Issues Follow-Up Review Of Pakistan’s Implementation Of IOSCO Principles

Date 28/03/2018

The Board of the International Organization of Securities Commissions (IOSCO) today published a follow-up Country Review of the Islamic Republic of Pakistan, which recognizes Pakistan’s efforts to adopt legislative and regulatory reforms aimed at aligning its regulations with international standards in accordance with the IOSCO Objectives and Principles of Securities Regulation (IOSCO Principles).
ESMA Adds New Q&A On Profit Forecasts

Date 28/03/2018

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers document on prospectus related issues to include a new Q&A on profit forecasts.
Proposal To Change Method For The Application Of The Risk Weight Floor For Swedish Mortgages

Date 28/03/2018

Finansinspektionen (FI) is proposing to change the method it currently uses to apply the current risk weight floor for Swedish mortgages through Pillar 2 by replacing it with a requirement within the framework of Article 458 of CRR. The change is proposed to enter into force on 31 December 2018.