FTSE Mondo Visione Exchanges Index:
News Centre
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Date 14/01/2015
FINRA Hearing Panel Expels John Carris Investments And Bars CEO George Carris For Fraud
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled John Carris Investments, LLC (JCI) and barred CEO George Carris from the securities industry for fraud and suitability violations. The panel found that JCI and George Carris recklessly sold shares of stock and promissory notes issued by JCI's parent company using misleading statements and by omitting material facts. Andrey Tkatchenko, a registered representative, was suspended for two years and fined $10,000 for recommending the stock and promissory notes without a reasonable basis. JCI and Carris were also expelled and barred for manipulating the price of Fibrocell stock. The panel found that JCI and Carris manipulated the price of Fibrocell stock through unfunded purchases of large blocks of the stock and pre-arranged trading accomplished through reported matched limit orders. Head Trader Jason Barter was suspended for 18 months, fined $5,000 and must re-qualify to enter the securities industry for his role in the manipulation of the Fibrocell stock. The ruling resolves charges brought by FINRA's Department of Enforcement inSeptember 2013.
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Date 14/01/2015
SEC Adopts Rules To Increase Transparency In Security-Based Swap Market - Commission Also Proposes Additional Security-Based Swap Transaction Reporting Rules And Guidance
The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data. The SEC also proposed certain additional rules, rule amendments and guidance related to the reporting and public dissemination of security-based swap transaction data. The new rules are designed to increase transparency in the security-based swap market and to ensure that SDRs maintain complete records of security-based swap transactions that can be accessed by regulators.
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Date 14/01/2015
CFTC Financial Data For Futures Commission Merchants Update
This information has recently been updated, and is now available.
http://www.cftc.gov/MarketReports/FinancialDataforFCMs/index.htm
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Date 14/01/2015
SIFMA Issues 2014 Year In Review
SIFMA today issued our 2014 Year in Review. The report highlights the work of more than 10,000 professionals from 500 member firms who participate in 100 committees and countless working groups to advocate in support of effective and resilient capital markets.
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Date 14/01/2015
CFTC Obtains Judgment Against Commodity Pool Operators TOTE Fund LLC And MJS Capital Management LLC, And Their Principal, Michael J. Siegel, For Commodity Pool Fraud And Other Violations - Federal Court Orders Defendants To Pay More Than $871,000 In Restitution, Disgorgement, And Civil Monetary Penalties
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Noel L. Hillman of the U.S. District Court for the District of New Jersey entered an Order of default judgment and permanent injunction against Defendants TOTE Fund LLC (TOTE) and MJS Capital Management LLC (MJS), two Commodity Pool Operators, and their sole principal Michael J. Siegel of Northfield, New Jersey.
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Date 14/01/2015
FESE European Equity Market Report - Year 2014 Figures
The European Equity Market Report is a piece of analysis that allows for an accurate comparison of trading statistics across European trading venues.
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Date 14/01/2015
Cairo Amman Bank Update: Jordan’s New Income Tax Law Number (34) Of The Year 2014
Jordan’s new Income tax law number (34) of the year 2014 (to published in the official gazette) is put in force as of January 1, 2015.
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Date 14/01/2015
ICE Futures Europe Achieves Daily Volume Record In NBP Natural Gas
Intercontinental Exchange, the leading global network of exchanges and clearing houses, today announced that the ICE Futures Europe NBP Natural Gas futures and options contracts achieved a daily volume record of 148,765 lots (equivalent to 4.48 billion therms) on January 13, 2015. The previous record of 120,145 lots was set on March 3, 2014.
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Date 14/01/2015
CME Group Announces Record NYMEX Brent (BZ) Volume Surpasses 200K
CME Group, the world's leading and most diverse derivatives marketplace, today announced it reached a trading volume record for its NYMEX Brent (BZ) crude oil futures contract on Tuesday, January 13, 2015. Trading volume for NYMEX Brent reached 206,088, compared to January 9, 2015, the last record day when volume reached 191,961 contracts.
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Date 14/01/2015
flydubai Celebrates Listing Of 500 Million US Dollar Sukuk On NASDAQ Dubai
- HE Essa Kazim: Islamic Economy Development Centre welcomes role of capital markets in supporting Dubai’s growth as global aviation centre
- Ghaith Al Ghaith: Listing supports airline’s successful Sukuk issuance to international and regional investors
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