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Ontario Securities Commission Seeks Comment On Proposed Amendments To Trade Repositories Rule

Date 05/11/2015

The Ontario Securities Commission (OSC) today published amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting (the TR Rule) and its companion policy for a 90-day comment period.
IIROC Proposes Amendments To Membership Disclosure Rules

Date 05/11/2015

The Investment Industry Regulatory Organization of Canada (IIROC) today re-published for comment proposed amendments to the requirements for IIROC Dealer Members to disclose that they are regulated by IIROC.
Canadian Securities Regulators Issue Additional Guidance Related To Oil And Gas Disclosure

Date 05/11/2015

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 51-345 Disclosure of Abandonment and Reclamation Costs in National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities and Related Forms, which summarizes certain information and requirements in recently amended NI 51-101 and related forms.
BOX Options Exchange Price Improvement Activity For October

Date 05/11/2015

In the month of October, price improved contracts on BOX Options Exchange averaged 285,653 per day.
Scottish Citizen Indicted For Twitter-Based Stock Manipulation Scheme - Defendant Tweeted False Information About Publicly Traded Companies, Causing More Than $1 Million In Losses

Date 05/11/2015

A federal grand jury in San Francisco indicted James Alan Craig today with securities fraud, announced Acting U.S. Attorney Brian J. Stretch of the Northern District of California and Special Agent in Charge David J. Johnson of the FBI’s San Francisco Division.

BATS Global Markets Reports Record 26.0% Europe Equities Market Share - Successfully Launches New U.S. Options Market, Remains #1 For ETF Trading - Strong U.S. Equities And ETF Trading Market Share In October

Date 05/11/2015

BATS Global Markets (BATS) today reported October data and highlights including record market share of 26.0% in European Equities, surpassing the previous record of 25.9% set in November 2011.
Two Former Rabobank Traders Convicted For Manipulating U.S. Dollar, Yen LIBOR Interest Rates

Date 05/11/2015

A federal jury convicted two former Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) derivative traders – including the bank’s former Global Head of Liquidity & Finance in London – today for manipulating the London InterBank Offered Rates (LIBOR) for the U.S. Dollar (USD) and the Yen, benchmark interest rates to which trillions of dollars in interest rate contracts were tied. Five former Rabobank employees have now been convicted in the Rabobank LIBOR investigation.
FIA Merges Into Single Organization

Date 05/11/2015

FIA announced today that official documents have been signed executing the merger of FIA, FIA Europe, FIA Asia into a single organization. The merger into one FIA will take effect on January 4, 2016. The newly merged organization will represent and serve both the global and regional needs of the futures, options, and cleared swaps industries.
SEC Charges: False Tweets Sent Two Stocks Reeling In Market Manipulation - Criminal Charges Also Filed

Date 05/11/2015

The Securities and Exchange Commission today filed securities fraud charges against a Scottish trader whose false tweets caused sharp drops in the stock prices of two companies and triggered a trading halt in one of them.
From Our Man At The 31st Annual FIA Futures & Options Expo - Tom Groenfeldt: Market Executives On Washington, Politics And Regulation At FIA

Date 05/11/2015

Financial executives speaking at the FIA Expo in Chicago today are resigned to continued political deadlock in Washington on large regulatory changes, although they have some hopes on a few individual pieces of legislation.