News Centre

FINRA Announces New Head Of Corporate Communications

Date 10/09/2012

The Financial Industry Regulatory Authority (FINRA) announced today that effective October 15, 2012, Greg Ahern will join FINRA as Executive Vice President for Corporate Communications and Government Relations. In this role, Ahern will be responsible for media, government relations, and investor education programs, and oversee FINRA's editorial production, design, and multimedia communications services. Ahern will also assume oversight responsibilities for FINRA's Member Relations group. This realignment will help FINRA better coordinate interaction with its various constituencies.

ISE Announces The Launch Of The First Mutual Fund Based On An ISE Index - Virtus Wealth Masters Fund Tracks The Horizon Kinetics ISE Wealth Index

Date 10/09/2012

The International Securities Exchange (ISE) today announced that the Virtus Wealth Masters Fund (Tickers: VWMAX, VWMCX, VWMIX), which tracks the Horizon Kinetics ISE Wealth Index(Ticker: RCH), was launched by Virtus Investment Partners, Inc. (NASDAQ: VRTS). It is the first mutual fund based on an index jointly developed by ISE and Horizon Kinetics LLC. 

SEC Charges Atlanta-Based Firm For Compliance Failures As Brokers Churned Customer Accounts

Date 10/09/2012

The Securities and Exchange Commission today charged three former brokers at an Atlanta-based brokerage firm for “churning” the accounts of customers with conservative investment objectives, causing severe investor losses while the brokers collected handsome fees.

ICE Clear Europe Announces First LNG Cleared Swap On The Japan Korea Marker

Date 10/09/2012

IntercontinentalExchange (NYSE: ICE), a leading operator of global regulated futures exchanges, clearing houses and over-the-counter markets, today announced that ICE Clear Europe cleared its first Liquefied Natural Gas (LNG) Cleared Swap on the Platts*Japan Korea Marker (JKM).

ESMA Warns Retail Investors About The Pitfalls Of Online Investing

Date 10/09/2012

ESMA today issues a warning alerting retail investors to the risks involved in online investing, and setting out useful tips to investing safely on the internet. 

NYSE Liffe U.S. Expands Mini MSCI Futures Portfolio With Three New Global Futures Products

Date 10/09/2012

• Creating New Opportunities to Manage Positions and Adjust Global Exposure
• mini MSCI Canada Index Futures (MCL)
• mini MSCI Emerging Markets Latin America Index Futures (MLE)
• mini MSCI World Index Futures (MWL)

NASDAQ OMX To Provide UK Financial Services Authority (FSA) With SMARTS Integrity To Enhance Market Surveillance Capabilities

Date 10/09/2012

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) and the Financial Services Authority (FSA), an independent body that regulates the financial services industry in the United Kingdom (UK), today announced that the FSA has selected NASDAQ OMX's SMARTS Integrity market surveillance system to further enhance the FSA's monitoring of transaction reports across the UK's financial markets.

CME Group Launches New Natural Gas And Power Markets - New Contracts Available For Trade On CME Direct

Date 10/09/2012

CME Group, the world's leading and most diverse derivatives marketplace, today announced the launch of a broad suite of new natural gas and power markets.

Montréal Exchange Launches Virtual Trading Platform - Online Tool Helps First-Time Users Navigate Options Trading

Date 10/09/2012

Montréal Exchange Inc. (MX), a wholly-owned subsidiary of TMX Group Ltd. and Canada's derivatives exchange, today announced the launch of its options trading simulator.

Davy Chooses SunGard’s Protegent Market Abuse

Date 10/09/2012

Davy, Ireland’s leading providers of stockbroking, wealth management, asset management and financial advisory services, has selected SunGard’s Protegent Market Abuse solution to help manage market surveillance across its equity and bond trading operations globally.