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  • Cinnober Chosen By NYSE Regulation As Technology Provider - NYSE Regulation To Perform Market Surveillance And Enforcement Program For NYSE Group Exchanges

    Date 07/10/2014

    NYSE Group has announced NYSE Regulation will directly perform the market surveillance, investigation and enforcement functions for NYSE Group’s three equities exchanges and two options exchanges upon the expiration of the contract with the Financial Industry Regulation Authority (FINRA) on December 31, 2015. FINRA will retain the cross-market surveillance and investigation functions and will continue to conduct the registration, testing, and examinations of broker-dealer members of NYSE Group’s exchanges.

  • Moscow Exchange: Euro To Be Accepted As Collateral On Derivatives Market

    Date 07/10/2014

    The EUR will become eligible as collateral on Moscow Exchange's Derivatives market from 13 October. The list of assets eligible as collateral currently includes the RUB and USD, as well as stocks and bonds.

  • Minister Grants Australian CS Facility Licence To CME

    Date 07/10/2014

    On 30 September 2014, Senator the Honorable Mathias Cormann, Acting Assistant Treasurer, granted an Australian clearing and settlement (CS) facility licence to Chicago Mercantile Exchange Inc. (CME) under section 824B(2) of the Corporations Act 2001.

  • FINRA Announces Updates Of The Interpretations Of Financial And Operational Rules

    Date 06/10/2014

    Executive Summary

    FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility rules for broker-dealers in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the SEC adopted.1 The updated imbedded text relates to SEA Rules 15c3-1, 15c3-1a, 15c3-1e, 15c3-1f, 15c3-1g, 15c3-3a and 17a-4. FINRA is also making available related updates of the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Division of Trading and Markets (SEC staff). The updated interpretations relate to SEA Rule 15c3-1.

  • Financial Stability Oversight Council Meeting October 6, 2014

    Date 06/10/2014

    Secretary Lew today convened a meeting of the Financial Stability Oversight Council (Council) in a closed and an open session at the Treasury Department.