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Date 14/11/2014
SEC Charges Business Owner And Stockbroker In Maryland-Based Offering Fraud
The Securities and Exchange Commission today charged the owner of a Maryland-based real estate company with conducting an offering fraud and spending investor money on such personal expenses as his mortgage, country club dues, and season tickets to the Baltimore Ravens. The agency also charged a former stockbroker for participating in the scheme.
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Date 14/11/2014
Direct Edge Trading Notice #14-51: EDGA Functionality Changes
Effective Monday, November 17, 2014, the EDGA ExchangeSM (EDGA®) will make the following functionality changes:
- Modify the behavior of Hide Not Slide (HNS) and Price Adjust orders entered with a Post Only instruction. Refer to Direct Edge Trading Notice #14-36 for more details.
- Modify the behavior of the Opening Process for NYSE and NYSE MKT listed securities and the Halt Re-Opening Process for all securities. Refer to Direct Edge Trading Notice #14-38 for more details.
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Date 14/11/2014
Federal Reserve Governor Jerome H. Powell At The Global Research Forum On International Macroeconomics And Finance, Washington, D.C., November 14, 2014, Monetary Policy Accommodation, Risk-Taking, And Spillovers
Our panel's topic--"Monetary Policy Spillovers and Cooperation in a Global Economy"--is surely a timely one. I will offer brief introductory thoughts and then discuss some recent research by Federal Reserve Board economists that has bearing on these matters.1
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Date 14/11/2014
Bourse de Montréal: Disciplinary Decision — Offer Of Settlement The Kyte Group Limited
Following an investigation conducted by its Regulatory Division, Bourse de Montréal Inc. (the Bourse) filed a complaint against The Kyte Group Limited, an approved participant of the Bourse.
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Date 14/11/2014
Nasdaq Welcomes Virgin America Inc. (Nasdaq: VA) To The Nasdaq Stock Market
Nasdaq (Nasdaq:NDAQ) announced that trading of Virgin America Inc. (Nasdaq:VA), a San Francisco, California-based airline, commenced on The Nasdaq Stock Market on November 14, 2014.
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Date 14/11/2014
Nigerian Stock Exchange Weekly Report For The Week Ended 14 November 2014
A turnover of 1.850 billion shares worth N30.863 billion in 27,397 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 3.778 billion shares valued at N26.740 billion that exchanged hands last week in 22,771 deals.
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Date 14/11/2014
SEC Announces Agenda And Panelists For Small Business Forum
The Securities and Exchange Commission today announced the agenda and panelists for next week’s Government-Business Forum on Small Business Capital Formation.
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Date 14/11/2014
TOM MTF Statistics Week 46
Click here to download the weekly statistics update of TOM MTF for week 46, 2014.
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Date 14/11/2014
SEC And SBA To Host Event On Small Business Capital Raising Prior To Small Business Forum
The Securities and Exchange Commission, in partnership with the U.S. Small Business Administration, today announced they will jointly host an event on November 19, a day prior to this year’s Government-Business Forum on Small Business Capital Formation, to inform small business owners and entrepreneurs about new options that are and will become available for capital raising under the Jumpstart Our Business Startups (JOBS) Act.
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Date 14/11/2014
Beesley Lecture: Economics, Technology And Data - Redefining The Future Of Conduct Regulation - Speech By Martin Wheatley, Chief Executive Of The FCA, At The Institute Of Directors, London
In the interests of full disclosure – a topic I’ll come on to later – it’s worth starting by saying I’m not an economist by degree, more by occupation. In fact, I studied philosophy at university. Something I never thought I’d return to as I became, over the years, first an accountant, then a master of business, and finally a regulator. I find myself, however, more often than I ever thought possible, returning to questions of ethics, of fairness, of power and knowledge mismatches.
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