News Centre

IIROC Annual Report Charts Progress Made To Protect Investors And Support Industry Transformation

Date 21/09/2020

The Investment Industry Regulatory Organization of Canada (IIROC) today released its Annual Report for 2019-2020, highlighting how the public interest regulator is delivering value for Canadians and the financial system, protecting investors and supporting industry transformation.

FINRA Executive Vice President Michael Rufino Announces Departure

Date 21/09/2020

FINRA announced today that Michael Rufino will leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA’s Sales Practice Examination, Risk Monitoring and Membership Application Programs in 14 District offices.

Nadex Refrains From Listing 5-Minute Contracts

Date 21/09/2020

Due to technical issues and pursuant to the authority granted in Nadex Rule 12.1(i), Nadex did not list its Intraday 5-Minute Binary contracts at the opening of trade date September 21, 2020.  The issue was corrected and the 5-Minute contracts were listed beginning with the 7:20pm ET expiration time on trade date September 21, 2020.

Cboe Global Markets Announces Date Of Third-Quarter 2020 Earnings Release And Conference Call

Date 21/09/2020

Cboe Global Markets, Inc. (Cboe: CBOE), a market operator and global trading solutions provider, today said it will announce its financial results for the third quarter of 2020 before the market opens on Friday, October 30, 2020. A conference call with remarks by the company's senior management will begin at 7:30 a.m. Central Time (CT), 8:30 a.m. Eastern Time (ET).

SEC Charges Ponzi Scheme Targeting U.S. Military Service Members

Date 21/09/2020

The Securities and Exchange Commission today announced settled charges against a Colorado man for defrauding investors, including cadets at the U.S. Air Force Academy.

Moscow Exchange: Risk Parameters Change On Securities Market

Date 21/09/2020

CCP NCC changes PcH_max and x_pr parameters value for RU000A0JV3T7 on Securities market starting from September 22, 2020:

Finansinspektionen: New Reporting System For Short Selling To Be Launched This Week

Date 21/09/2020

This week, FI will launch a new reporting system for the reporting of net short positions: the Short Selling Online Reporting tool.

SEC Issues $2.4 Million Whistleblower Award

Date 21/09/2020

The Securities and Exchange Commission today announced an award of $2.4 million to a whistleblower whose timely submission of information prompted the agency to initiate an investigation and bring an enforcement action that stopped ongoing misconduct, and whose assistance throughout the investigation contributed to all of the charges brought by the SEC.

Strengthening The CRA To Meet The Challenges Of Our Time, Federal Reserve Governor Lael Brainard, At The Urban Institute, Washington, D.C. (via webcast)

Date 21/09/2020

Nigerian Stock Exchange Highlights Retail Investment Opportunities In Today’s Nigerian Capital Market

Date 21/09/2020

The Nigerian Stock Exchange (“NSE” or “The Exchange”) has expressed its commitment to redefining and improving investors’ overall experience in the Nigerian capital market, and ensuring that it remains modern, convenient and secure. This was highlighted at the inaugural edition of the Retail Investors’ Webinar hosted by The Exchange in collaboration with the Nigerian International Securities Limited (NISL) on Monday, 21 September 2020. The event, with the theme, Capital Market Investing in a Digital Age, was supported by the Chartered Institute of Stockbrokers (CIS) and the Association of Securities Dealing Houses of Nigeria (ASHON).