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  • Canadian Securities Exchange Enjoys Record Year In 2014

    Date 14/01/2015

    The Canadian Securities Exchange (“CSE”) is pleased to announce record results in all key performance categories for the year ended December 31, 2014, reflecting success in achieving the exchange’s goal of reducing the cost of capital for Canadian public companies.  For 2015, the CSE expects growth to remain strong as it maintains existing activities and introduces several new initiatives to further strengthen competitiveness.

  • FINRA Hearing Panel Expels John Carris Investments And Bars CEO George Carris For Fraud

    Date 14/01/2015

    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.

  • SEC Adopts Rules To Increase Transparency In Security-Based Swap Market - Commission Also Proposes Additional Security-Based Swap Transaction Reporting Rules And Guidance

    Date 14/01/2015

    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.

  • CFTC Financial Data For Futures Commission Merchants Update

    Date 14/01/2015

    This information has recently been updated, and is now available.

    http://www.cftc.gov/MarketReports/FinancialDataforFCMs/index.htm

  • SIFMA Issues 2014 Year In Review

    Date 14/01/2015

    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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