FTSE Mondo Visione Exchanges Index:
News Centre
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Date 19/11/2014
ConvergEx Group Subsidiary Sentenced For Securities Fraud Scheme
A brokerage subsidiary of ConvergEx Group LLC was sentenced and ordered to pay a criminal penalty and restitution of $26 million for wire fraud and conspiracy to commit securities and wire fraud in connection with a scheme to charge clients millions of dollars in unwarranted and hidden fees.
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Date 19/11/2014
SEC Adopts Rules To Improve Systems Compliance And Integrity - Rules To Strengthen Technology Infrastructure Of Securities Markets
The Securities and Exchange Commission today voted to adopt new rules designed to strengthen the technology infrastructure of the U.S. securities markets. The rules – together comprising Regulation Systems Compliance and Integrity (Regulation SCI) – impose requirements on certain key market participants intended to reduce the occurrence of systems issues and improve resiliency when systems problems do occur.
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Date 19/11/2014
SIFMA Statement On The SEC's Adoption Of Regulation SCI
SIFMA today issued the following statement from Randy Snook, executive vice president, business policies and practices, on the SEC's adoption of Regulation SCI:
"SIFMA supports Regulation SCI's goal of market resiliency, which is a critical responsibility that all market participants share. Regulation SCI is a meaningful step forward to help ensure that the financial industry's critical infrastructure can support robust market activity and avoid disruptions that could undermine investor confidence in the markets. While we will need to review the scope and details of this rule with our members, we are encouraged by the SEC's focus on critical market participants."
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Date 19/11/2014
SEC Announces Next Meeting Of The Advisory Committee On Small And Emerging Companies
The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold its next meeting on Wednesday, Dec. 17, beginning at 9:30 a.m. ET. The committee will focus on the interests and priorities of emerging and smaller public companies.
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Date 19/11/2014
CFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.
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Date 19/11/2014
FIF Capacity Statistics For October 2014: Four New Record 1 Second Peaks: SIAC OPRA, BATS BZX TOP, UTP UTDF, BATS Options MCASTPITCH AGG
This month’s bulletin from the Financial Information Forum (FIF) finds that SIAC OPRAwas up 14% to 9,624,807 mps over the 1 second interval
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Date 19/11/2014
Statement At Open Meeting On Regulation SCI, SEC Commissioner Daniel M. Gallagher
Thank you, Chair White. I’d like to begin by thanking the Trading and Markets staff, in particular Dave Shillman, David Liu, Heidi Pilpel, and Yue Ding, for all of their hard work on this rulemaking. I’d especially like to note their thoughtful and comprehensive treatment of the comments we received on the proposing release. I would also like to thank the staff in DERA and the Office of General Counsel for all of their hard work on this matter.
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Date 19/11/2014
Capital Markets Cooperative Research Centre (CMCRC): Thanksgiving In US Bears No Gifts For The Canadian Financial Markets - Holidays In Some Financial Markets Can Affect Market Quality In Other Countries
The Capital Markets Cooperative Research Centre (CMCRC) has released analysis showing that the US Thanksgiving holiday negatively impacts the quality of Canadian securities markets.
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Date 19/11/2014
Human Rights Campaign Names DTCC a "Best Place to Work" For Third Consecutive Year
The Human Rights Campaign (HRC) has named The Depository Trust & Clearing Corporation (DTCC) a 2015 “Best Place to Work” for lesbian, gay, bisexual and transgender (LGBT) employees, marking the third consecutive year that DTCC has been honored with the designation.
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Date 19/11/2014
Remarks At 31st International Conference On The Foreign Corrupt Practices Act, Andrew Ceresney, Director, SEC Division Of Enforcement, National Harbor, Maryland, Nov. 19, 2014
Introduction
At the outset, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.
I am very excited to be here again this year to discuss the latest developments in the SEC’s FCPA enforcement. Pursuing such violations remains a critical part of our enforcement efforts, as international bribery has many nefarious impacts, including sapping investor confidence in the legitimacy of a company’s performance and undermining the accuracy of a company's books and records.
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