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Date 07/03/2014
Statement On Jury Verdict In Insider Trading Case, Andrew Ceresney, Director, SEC Division Of Enforcement
"We are gratified that the jury unanimously found that both defendants committed insider trading in the context of a tender offer. The defendants were found to have violated one of the Commission's core anti-fraud provisions that is aimed at protecting the investing public by preventing those with insider knowledge from illegally profiting from their fraudulent trading." -
Date 07/03/2014
Market Participants Gather To Hear Prospects For Japan’s Economic Revival - The 6th Japan Securities Summit Held In New York On March 6
Top representatives from the Japanese securitiesmarkets gathered at an event in New York today to promote the Japanese markets to overseas investors and market participants. Japan is moving toward economic recovery from its long deflationary doldrums and is establishing a foothold for stable growth. Challenges facing Japan and policies to address them were outlined to an audience of US securities market participants at the Japan Securities Summit co-organized by the Japan Securities Dealers Association (JSDA) and the Securities Industry and Financial Markets Association (SIFMA).
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Date 07/03/2014
CFTC Provides Time-Limited No-Action Relief To Certain Affiliated Counterparties
The Commodity Futures Trading Commission’s (Commission) Divisions of Clearing and Risk (DCR) and Market Oversight (DMO) today provided time-limited no-action relief to certain affiliated counterparties.
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Date 07/03/2014
NASDAQ OMX February 2014 Volumes
The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for February 2014, on its investor relations website. A data sheet showing the monthly volumes can be found at: http://ir.nasdaqomx.com/monthly-reporting/
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Date 06/03/2014
The Options Industry Council Announces Investor Education Day In Boca Raton March 22
The Options Industry Council (OIC) today announced that its first Investor Education Day (IED) for 2014 is taking place in Boca Raton, FL on March 22.
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Date 06/03/2014
MIAX Options Exchange: MIAX Options - Auto Cancel On Disconnect (ACOD) Feature Effective March 10, 2014
MIAX will introduce the Auto Cancel on Disconnect (ACOD) functionality on March 10, 2014. With the introduction of this new feature, Firms will now have the ability to send an ACOD directive on an order by order basis or at a session level. Orders received with this directive will be canceled upon disconnect (due to graceful logout or a connection loss or loss of 2 heartbeats) on a best effort basis. GTC orders are not eligible for ACOD functionality. Please refer to the FOI interface specification for more details regarding this feature.
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Date 06/03/2014
The Options Industry Council Announces Blair Hull As 2014 Sullivan Award Recipient
The Options Industry Council (OIC) today announced Blair Hull as recipient of the 2014 Joseph W. Sullivan Options Industry Achievement Award. This award is given annually to one individual in recognition of outstanding contributions to the U.S. options industry throughout his or her career. The 2014 Sullivan Award will be presented at the 32nd Annual Options Industry Conference to be held April 30 – May 2, in Austin, TX.
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Date 06/03/2014
FINRA’s Statement On PIABA’s Public Disclosure Study
BrokerCheck is the only free online tool of its kind available to the public 24 hours a day, seven days a week. There are no forms to fill out and submit, and there is neither a time delay nor a cost to investors who receive a report. In fact, more than 75% of state securities regulators refer investors to BrokerCheck from their websites. FINRA has committed considerable resources and made significant enhancements to BrokerCheck, particularly over the last five years, to create a more user-friendly interface that allows investors to quickly access and intuitively understand the professional background of investment professionals. While the system may not be perfect, we do have to make determinations on what information about registered representatives is appropriate to release, while at the same time balancing fairness rather than ignoring it.
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Date 06/03/2014
Borsa Italiana Monthly Update - February 2014
Click here to download Borsa Italiana's monthly update for February 2014.
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Date 06/03/2014
Testimony Of Acting CFTC Chairman Mark P. Wetjen Before The U.S. House Appropriations Subcommittee On Agriculture, Rural Development, Food And Drug Administration, And Related Agencies
Good morning, Chairman Aderholt, Ranking Member Farr and members of the Subcommittee. Thank you for inviting me to today’s hearing on the FY 2015 President’s Budget request for the Commodity Futures Trading Commission (“Commission” or “CFTC”).
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