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SEC Charges Renewable Energy Company, CEO, And Others With Defrauding Investors

Date 17/11/2016

The Securities and Exchange Commission today filed fraud charges against four individuals and others who allegedly profited by defrauding investors in a cash-strapped California-based renewable energy company.
Ontario Securities Commission Publishes Investor Office Activity Report For 2015-2016

Date 17/11/2016

The Ontario Securities Commission (OSC) today published OSC Staff Notice 11-776 Investor Office Activity Report 2015-2016.
Canadian Securities Administrators Announces Cyber Security Roundtable

Date 17/11/2016

The Canadian Securities Administrators (CSA) announced today that it will hold a roundtable to discuss issues related to cyber security and opportunities for greater collaboration, communication and coordination in the event of a cyber security incident. The roundtable follows the publication of CSA Staff Notice 11-332 Cyber Security, which identifies related issues and opportunities.
Canadian Securities Regulators Publish Guidance For Portfolio Managers Working With Investment Dealers

Date 17/11/2016

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members. The notice provides information and guidance for CSA-regulated portfolio managers who enter into custody and trading arrangements with dealer members of the Investment Industry Regulatory Organization of Canada (IIROC).
Deutsche Börse: Unscheduled Adjustment In TecDAX - Adjustments To The Free Float And Share Class Of AIXTRON SE To Be Replaced - Changes To Be Effective As Of 22 November 2016

Date 17/11/2016

On Thursday, Deutsche Börse announced an unscheduled change to TecDAX. As a result of the expected acquisition of AIXTRON SE by Grand Chip Investment GmbH, the tendered share line of AIXTRON SE (ISIN DE000A2BPYT0) in the index will be deleted and replaced with the prior AIXTRON SE share line (ISIN DE000A0WMPJ6). This change is due to the end of the final tender period of the acquisition from 10 November 2016. This process ensures that the relevant criteria of index continuity and tradability are upheld.

MIAX Options Exchange: Rule Change Notice—FINRA Arbitration Rules 12504 And 13504

Date 17/11/2016

FINRA has received approval to amend Rule 12504, Code of Arbitration Procedure for Customer Disputes and Rule 13504, Code of Arbitration Procedure for Industry Disputes relating to motions to dismiss in arbitration.
‘The Winners Of The 4th European Small And Mid-Cap Awards’

Date 17/11/2016

FESE and EuropeanIssuers in cooperation with the European Commission (DG GROW) are delighted to announce the winners of the 4th European Small and Mid-Cap Awards.
2016 Government-Business Forum On Small Business Capital Formation Opening Remarks, SEC Commissioner Kara M. Stein, Nov. 17, 2016

Date 17/11/2016

Good morning. Welcome to the annual Government-Business Forum on Small Business Capital Formation. I would also like to thank Sebastian and his team for all their work in putting the forum together.
BM&FBOVESPA Has Opened The Second Phase Of Public Hearings For The Special Corporate Governance Segment’s Development Process - Exchange Is Receiving Comments Until January 06, 2017. Closed Hearings Begins March 15, 2017

Date 17/11/2016

BM&FBOVESPA has opened until January 06, 2017, the second phase of public hearings to discuss with listed companies, investors, intermediaries, and market bodies a new proposal for regulations for the Special Corporate Governance Segments (Novo Mercado and Level 2 corporate governance). The new schedule also foresees Closed Hearings from March 15, 2017 until May 31, 2017, and a voting period for listed companies from June 01, 2017 until June 30, 2017.
EEX New Participant: Flow Traders B.V

Date 17/11/2016

Flow Traders B.V. has been admitted to exchange trading for Phelix Futures and Options, Belgian Financial Power Futures, Dutch Financial Power Futures, French Financial Power Futures and Options, Greek Financial Power Futures, Italian Financial Power Futures and Options, Nordic Financial Power Futures and Options, Romanian Financial Power Futures, Spanish Financial Power Futures and Options, Swiss Financial Power Futures, UK Financial Power Futures, German Intraday Cap Futures, Futures and Options on Emission Rights, Financial Futures on Agricultural Products and Coal Futures (USD).