News Centre

FINRA Offers Continuing Education Courses To CFP Professionals - Nearly 60 E-Learning Classes Now Eligible For CE Credits Following CFP® Board Review

Date 31/05/2017

The Financial Industry Regulatory Authority (FINRA), in conjunction with the Certified Financial Planner Board of Standards, Inc. (CFP Board), announced today that the CFP Board has authorized continuing education credits (CE) for FINRA e-learning courses offered to all CERTIFIED FINANCIAL PLANNERTM professionals, including those who are registered representatives with FINRA member firms.

MIAX PEARL - Updated (2): June 1, 2017 Fee Changes

Date 31/05/2017

Effective June 1, 2017, pending SEC approval, the MIAX PEARL Fee Schedule will be amended as previously announced in the MIAX PEARL May 31, 2017 Alert. 

S&P Dow Jones Indices Commentary: Europe Dashboard

Date 31/05/2017

• Nearly every country contributed positively to the S&P Europe 350® this month.
• Utilities, historically the most docile market segment, led the pack to clock in a remarkable 8.23% gain.
• Despite a minor mid-month spike, equity volatility remains low.

CFTC Swaps Report Update

Date 31/05/2017

CFTC's Weekly Swaps Report has been updated, and is now available.

MIAX PEARL - Updated: June 1, 2017 Fee Changes

Date 31/05/2017

Effective June 1, 2017, pending SEC approval, the MIAX PEARL Fee Schedule will be amended.  In addition to the previously announced MIAX PEARL May 30, 2017 Alert, the Taker Fee for Priority Customers will be $0.35 in Symbol SPY.

CalPERS' Climate Risk Reporting Proposal Passes At Exxon Mobil

Date 31/05/2017

The California Public Employees' Retirement System's (CalPERS) climate risk reporting shareowner resolution passed today at the annual shareowner meeting of Exxon Mobil.

SEC: Fee Rate Advisory #3 For Fiscal Year 2017

Date 31/05/2017

The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities transactions will be set at $23.10 per million dollars. 

MiFID II: ESMA Clarifies Transparency And Position Limit Regimes For Instruments Traded On Non-EU Trading Venues

Date 31/05/2017

The European Securities and Markets Authority (ESMA) has issued today two opinions regarding the implementation of the Market in Financial Instruments Directive (MiFID II) and Regulation (MiFIR).

Ontario Securities Commission Requests Applications For Investment Funds Product Advisory Committee

Date 31/05/2017

The Ontario Securities Commission (OSC) is seeking applications for membership on its Investment Funds Product Advisory Committee (IFPAC).

ESMA Registers Bloomberg Trade Repository Limited As A Trade Repository

Date 31/05/2017

The European Securities and Markets Authority (ESMA), the EU supervisor of trade repositories (TRs), has registered Bloomberg Trade Repository Limited as a TR under the European Market Infrastructure Regulation (EMIR), with effect from 7 June 2017. Bloomberg Trade Repository Limited is based in the United Kingdom and covers the following derivative asset classes: commodities, credit, foreign exchange, equities and interest rates.