News Centre

NYSE, NYSE ARCA And NYSE MKT Short Interest Reports

Date 27/09/2016

NYSE today reported short interest as of the close of business on the settlement date of September 15, 2016.

BGC Partners' Third Quarter 2016 Financial Results Announcement To Be Issued Prior To Market Open On Thursday, October 27, 2016 - Conference Call Scheduled For The Same Day At 10:00 A.M. ET

Date 27/09/2016

BGC Partners, Inc. (NASDAQ: BGCP) ("BGC Partners," "BGC," or the "Company"), a leading global brokerage company servicing the financial and real estate markets, today announced that it plans to issue an advisory press release regarding the availability of its consolidated quarterly financial results by 8:00 a.m. ET on Thursday, October 27, 2016.

SEC Charges CEO And Boiler Room Operator With Fraud

Date 26/09/2016

The Securities and Exchange Commission today charged a former microcap company CEO and a boiler room operator with defrauding seniors and others who were pressured to invest in a pair of penny stock companies and promised lucrative profits.

Ontario Securities Commission Seeks Applications For The Registrant Advisory Committee

Date 26/09/2016

The Ontario Securities Commission (OSC) is seeking applicants for membership on its Registrant Advisory Committee (RAC).

In recognizing the importance of consulting with stakeholders, the OSC’s RAC serves as a forum to discuss issues and challenges faced by registrants in interpreting and complying with Ontario securities law, including registration and compliance related matters.

SEC: Merrill Lynch Charged With Trading Controls Failures That Led To Mini-Flash Crashes

Date 26/09/2016

The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $12.5 million penalty for maintaining ineffective trading controls that failed to prevent erroneous orders from being sent to the markets and causing mini-flash crashes.

Six Exchanges Collectively Fine Merrill Lynch $3 Million For Violating The SEC’s Market Access Rule And The Exchanges’ Respective Supervision Rules

Date 26/09/2016

The Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGX Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc., and The NASDAQ Stock Market LLC (collectively, the “exchanges”) announced today that, in disciplinary actions initiated by the Financial Industry Regulatory Authority (“FINRA”) on their behalf, the exchanges collectively fined Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch” or the “firm”) $3 million for violating the Securities and Exchange Commission’s (“SEC”) market access rule and the exchanges’ respective supervision rules.

Steven Maijoor, ESMA Chair, Appears At Economic & Monetary Affairs Committee In The European Parliament

Date 26/09/2016

Steven Maijoor, ESMA Chair, attended the annual hearing of the Chairs of the European Supervisory Authorities - European Banking Authority (EBA), European Insurance and Occupational Pensions Authority (EIOPA) and the European Securities and Markets Authority (ESMA) - by the Economic and Monetary Affairs Committee (ECON) at the European Parliament.

Federal Reserve Governor Daniel K. Tarullo At The Yale University School Of Management Leaders Forum, New Haven, Connecticut, September 26, 2016, Next Steps In The Evolution Of Stress Testing

Date 26/09/2016

Supervisory stress testing has become a cornerstone of post-crisis prudential regulation. Stress testing, unlike traditional capital requirements, provides a forward-looking assessment of losses that would be suffered under adverse economic scenarios. The simultaneous testing of the largest firms lends a perspective on a large part of the banking system and facilitates identification of common exposures and risks.

Baltic Exchange Shareholders Vote In Favour Of Acquisition By SGX

Date 26/09/2016

Singapore Exchange (SGX) is pleased to announce that the shareholders of The Baltic Exchange Limited (Baltic Exchange) have today approved all the resolutions required in connection with the proposed scheme of arrangement (“Scheme”) for the acquisition of the Baltic Exchange.

Broadridge Extends Global Post Trade Management Solution With Cash Management Capabilities - Continued Innovation Highlights Momentum In Marketplace As Major Institutions Adopt GPTM For Enhanced Operational Efficiencies

Date 26/09/2016

Broadridge Financial Solutions, Inc. (NYSE: BR) today announced the extension of cash management capabilities to its industry leading Global Post Trade Management Solution (GPTM), which helps leading financial institutions optimize their use of capital across multiple asset classes and global markets.  The ability of Broadridge’s GPTM to drive increased operating efficiencies and agility for its clients has led to its adoption by the world’s leading financial institutions.