News Centre

Shanghai Stock Exchange Launches Pilot Business Of Private Placement Bonds For M&A, Reorganization

Date 07/11/2014

Upon approval by the China Securities Regulatory Commission, the Shanghai Stock Exchange (SSE) recently releases the “SSE Notice of Relevant Issues of Launching Pilot Business of Private Placement Bonds for Mergers, Acquisitions and Reorganizations” (the “Notice” for short), in a bid to implement requirements in the “Opinions of the State Council on Further Optimizing Market Environment for Enterprises’ Mergers, Acquisitions and Reorganizations” and relevant documents and give full play to the positive role of the capital market in propelling enterprises’ mergers, acquisitions and reorganizations. The SSE’s move marks the official launch of the pilot work for private placement bonds for mergers, acquisitions and reorganizations.

FINRA Investor Survey Reveals Strong Support For Additional Regulatory Protections

Date 07/11/2014

The Financial Industry Regulatory Authority (FINRA) released a survey of U.S. investors designed to measure perceptions of fairness and to gauge demand for additional regulatory protections. FINRA's survey of 1,000 adults revealed that 92 percent of investors agreed (62 percent strongly agreed and 30 percent somewhat agreed) that it is important to have a regulatory "cop on the beat" to protect investors and police the markets. In addition, 70 percent of investors surveyed strongly agreed and 24 percent of investors somewhat agreed that it is important that regulators use the latest tools and technology to protect investors.

TMX Group Limited Declares Dividend Of $0.40 Per Common Share

Date 07/11/2014

The Board of Directors of TMX Group Limited declared a dividend of$0.40 on each common share outstanding, payable on December 5, 2014 to shareholders of record at the close of business on November 21, 2014.

Federal Court In Florida Freezes Assets Of Emini Experts LLC, Capital Trading Concepts LLC, Dante S. Giovannetti, And Relief Defendant Capital Futures LLC In Ongoing Fraud Scheme - CFTC Charges Defendants With Fraudulently Soliciting At Least $700,000 From Investors

Date 07/11/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that The Honorable Paul G. Byron of the U.S. District Court for the Middle District of Florida, Orlando Division, on October 30, 2014, entered a restraining Order freezing assets and prohibiting the destruction or concealment of books and records of Defendants Emini Experts LLC (Emini), Capital Trading Concepts LLC (Capital Trading), and Dante S. Giovannetti, all of Orlando, Florida, and Relief Defendant Capital Futures LLC(Capital Futures). Emini is registered with the CFTC as a Commodity Trading Advisor and Giovannetti is its registered Associated Person. Capital Futures and Capital Trading have never been registered with the CFTC.

TMX Group Limited Reports Results For The Third Quarter 2014

Date 07/11/2014

• Revenue of $170.2 million in Q3/14, up 3% compared with Q3/13I
• Income from operations of $63.1 million in Q3/14, up 7% compared with Q3/13 
• Diluted earnings per share of 73 cents in Q3/14, up 109% from 35 cents in Q3/13
• Adjusted diluted earnings per share of 86 cents in Q3/14, up 15% compared with Q3/13 
• Adjusted diluted earnings per share of 86 cents excludes 13 cents per share of amortization ofintangibles related to acquisitions.

Bermuda Stock Exchange Will Be Closed For Remembrance Day Holiday

Date 07/11/2014

The Bermuda Stock Exchange (“BSX”) advises that the BSX will be closed on Tuesday, 11 November, 2014, in observance of the Remembrance Day Public Holiday. The BSX will re-open on Wednesday, 12 November, 2014.

ASX Compliance Monthly Activity Report – October 2014

Date 06/11/2014

New listings for the month were Anatara Life sciences Ltd (ANR), Australian Dairy Farms Trust (AHF), Ellerston Global Investments Limited (EGI), GPT Metro Office Fund (GMF), Huon Aquaculture Group Limited (HUO), Regis Healthcare Limited (REG), Rewardle Holdings Limited (RXH), RF Active (RFF), Think Childcare and Education Limited (TNK), and WEA Finance LLC and Westfield UK & Europe Finance PLC (WEF).

September 2014 FIF Market Share Report - Executive Summary

Date 06/11/2014

U.S. Equities Market Share

• Share volumes traded across Tape A, B, and C totaled 127.7 billion shares, an increase of 16.1% monthly, and an increase of4% annually.
• NYSE-listed securities share volume was 66.9 billion shares, an increase of 15% monthly and increase of 1% annually.
• Share volume in NASDAQ-listed securities was 39.7 billion shares, an 18.6% monthly increase and 12.5% annual increase.

SEC Charges California Lawyer And Two Massachusetts Men Behind Scheme To Manipulate Stock Of Sports Ticket Broker

Date 06/11/2014

The Securities and Exchange Commission today charged an attorney in Orange County, Calif., and two men in Massachusetts behind a pump-and-dump scheme that defrauded investors in a Boston-based ticket brokering business.

September 2014 FIF Market Dynamics Report - Executive Summary

Date 06/11/2014

OTC Market Share of NMS Securities

• In September 2014, off-exchange trading accounted for 36.7% of the shares traded in NMS Equity Securities, a decrease of 0.4% compared to last month.