News Centre

British Columbia Securities Commission Panel Finds That Five B.C. Residents Engaged In Market Manipulation

Date 10/09/2014

A British Columbia Securities Commission panel has found that five B.C. residents engaged in a market manipulation that led to a misleading appearance of trading activity in, or an artificial price for, shares in a company listed on the TSX Venture Exchange (TSX-V).

Investment Industry Regulatory Organization Of Canada Members Approve Board Of Directors - Board Re-Appoints Chair M. Marianne Harris

Date 10/09/2014

At the Annual General Meeting (AGM) of the Investment Industry Regulatory Organization of Canada (IIROC) held in Toronto, Ontario on September 9, 2014, member firms re-elected individuals to the IIROC Board of Directors.

NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date August 29, 2014

Date 10/09/2014

At the end of the settlement date of August 29, 2014, short interest in 2,239 NASDAQ Global Market^SM securities totaled 7,968,918,511 shares compared with 8,021,392,824 shares in 2,237 Global Market issues reported for the prior settlement date of August 15, 2014. The end-of-August short interest represents 5.56 days average daily NASDAQ Global Market share volume for the reporting period, compared with 4.44 days for the prior reporting period.

US Senate Banking Committee Chairman Tim Johnson Holds Wall Street Reform Hearing

Date 10/09/2014

Yesterday, Senate Banking Committee Chairman Tim Johnson (D-SD) held a hearing titled “Wall Street Reform: Assessing and Enhancing the Financial Regulatory System.” 

CFTC Swaps Report Update

Date 10/09/2014

CFTC's Weekly Swaps Report has been updated, and is now available.

OTC Derivatives Regulators Issue Report To The G20

Date 10/09/2014

The Over-the-Counter (OTC) Derivatives Regulators Group (ODRG), which is made up of authorities with responsibility for the regulation of OTC derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Quebec, Singapore, Switzerland, and the United States, issued a report today that provides an update to the G20 on further progress in resolving OTC derivatives cross-border implementation issues and identifies a cross-border issue that may call for legislative change.

SEC Announces Charges Against Corporate Insiders For Violating Laws Requiring Prompt Reporting Of Transactions And Holdings - Nearly Three Dozen Charged In Enforcement Initiative To Root Out Repeated Late Filers

Date 10/09/2014

The Securities and Exchange Commission today announced charges against 28 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and transactions in company stock.  Six publicly-traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies.

NASDAQ OMX To Host Commemorative Opening Bell Ceremony In Remembrance of 9/11

Date 10/09/2014

What:

In remembrance of September 11, 2001, the following organizations will visit the NASDAQ MarketSite in Times Square for a commemorative ceremony and to officially ring The NASDAQ Stock Market Opening Bell:

• Deputy Chief Roger Sakowich, FDNY
• Sergeant Gerry Flood- Emergency Service Unit, NYPD
• Kevin Parker, President, New York Police & Fire Widows' & Children's Benefit Fund
• Melissa Brengel, 9/11 Tribute Center

SEC Announces Fraud Charges Against Biotech Company and Former Executive Who Failed to Report Insider Stock Sales

Date 10/09/2014

The Securities and Exchange Commission today charged a Massachusetts-based biotech company and its former CEO with defrauding investors by failing to report his sales of company stock.

Direct Edge To Observe A Moment Of Silence On Thursday, September 11, 2014

Date 10/09/2014

Direct Edge will join other market participants in honoring those lost in the attacks of September 11, 2001, by observing one-minute of silence beginning 9:25 a.m. ET, Thursday, September 11, 2014.  While trading will not be affected, we encourage market participants to join us in silent tribute to the fallen and those affected by the tragedy.