FTSE Mondo Visione Exchanges Index:
News Centre
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Date 19/12/2014
SEC Proposes Amendments To Implement JOBS Act Mandate For Exchange Act Registration Requirements
As mandated by the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission has approved the issuance of proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Exchange Act.
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Date 18/12/2014
Houston Investment Manager Sentenced To 56 Months In Prison For Orchestrating $72 Million Ponzi Scheme
A Houston investment manager was sentenced yesterday to serve 56 months in prison for orchestrating a $72 million investment fraud scheme resulting in approximately $40 million in losses to investors.
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Date 18/12/2014
NZX Publishes Guidance Note On Continuous Disclosure
NZX today published its final guidance notes on continuous disclosure and trading halt and suspensions.
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Date 18/12/2014
California Investment Manager Sentenced To 225 Months in Prison For $33 Million Fraud Scheme
A California investment manager was sentenced yesterday to serve 225 months in prison for orchestrating a $33 million Ponzi scheme resulting in $15.2 million in losses to investors.
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Date 18/12/2014
Results To Shed Light On HFT Impact On Market Quality And Integrity - IIROC Publishes Academic Papers On Impact Of HFT
The Investment Industry Regulatory Organization of Canada (IIROC) yesterday published academic papers from three of the four academic teams chosen to assess the impact of high frequency trading (HFT) and related activity on Canadian equity markets, as part of the final phase of IIROC’s comprehensive HFT Study.
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Date 18/12/2014
Criminal Charges Filed Against U.S. Citizen In Connection With A Multi-Million Dollar International Cyber Counterfeiting Scheme Based In Uganda
U.S. Attorney David J. Hickton for the Western District of Pennsylvania and U.S. Secret Service Special Agent in Charge Eric P. Zahren of the Pittsburgh Field Office today announced the filing of a criminal complaint in Pittsburgh charging a U.S. citizen with leading an international counterfeit currency operation headquartered in the Republic of Uganda.
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Date 18/12/2014
FINRA Issues Precious Metals Investor Alert
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Physical Precious Metals: Tips to Avoid Tarnishing Your Portfolio. FINRA's new Alert warns investors of the risks involved with investing in physical precious metals such as silver, gold, palladium or platinum. Enforcement actions by the Commodity Futures Trading Commission (CFTC) and court decisions paint an ugly picture of sellers who charge high commissions and fees but ultimately fail to purchase or deliver the physical assets as promised.
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Date 18/12/2014
Financial Stability Oversight Council Meeting December 18, 2014
Secretary Lew today convened a meeting of the Financial Stability Oversight Council (Council) in executive and open sessions at the Treasury Department.
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Date 18/12/2014
CFTC Revokes Registrations Of Illinois Resident Aleks A. Kins And Chicago-Based AlphaMetrix, LLC
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it has revoked the registration of Aleks A. Kins of Chicago, Illinois, as an Associated Person and the registrations of AlphaMetrix, LLC (AlphaMetrix), a Delaware limited liability company with its principal place of business located in Chicago, Illinois, as a Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA). The CFTC issued Orders revoking the registrations simultaneous with its filing of Notices of Intent to Suspend, Revoke, or Restrict Registration of Kins (Kins Notice) and AlphaMetrix (AlphaMetrix Notice), which alleged that the Registrants were subject to statutory disqualification based upon conduct prohibited by the Commodity Exchange Act (CEA).
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Date 18/12/2014
BGC Partners Updates Its Outlook For The Fourth Quarter Of 2014 - The Company Expects The Fourth Quarter To Be The Second Consecutive Period Of Record Post-Tax Distributable Earnings
BGC Partners, Inc. (NASDAQ: BGCP) ("BGC Partners," "the Company," or "BGC"), a leading global brokerage company primarily servicing the financial and real estate markets, today announced that it has updated its outlook for the quarter ending December 31, 2014.
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