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Nasdaq August 2020 Volumes

Date 02/09/2020

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for August 2020, on its investor relations website.
CFTC Swaps Report Update

Date 02/09/2020

CFTC's Weekly Swaps Report has been updated, and is now available.
United States Reaches Settlement To Recover More Than $60 Million Involving Malaysian Sovereign Wealth Fund

Date 02/09/2020

The Department of Justice has reached a settlement of its civil forfeiture cases against assets acquired by Riza Aziz utilizing funds allegedly embezzled from 1Malaysia Development Berhad (1MDB), Malaysia’s investment development fund, and laundered through financial institutions in several jurisdictions, including the United States, Switzerland, Singapore and Luxembourg.
FINRA Sanctions Wells Fargo Clearing Services, LLC And Wells Fargo Advisors Financial Network, LLC More Than $2 Million For Supervisory Violations Related To Variable Annuity Switches - Firms To Pay $1.4 Million In Restitution To Approximately 100 Affected Customers

Date 02/09/2020

FINRA announced today that Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) have agreed to pay more than $1.4 million in restitution, plus interest, to approximately 100 customers and fines totaling $675,000 for failing to supervise recommendations that customers switch from variable annuities to investment company products.
Wiener Börse: Wienerberger To Replace BAWAG Group In ATX Five, Austrian National Index ATX Remains Unchanged

Date 02/09/2020

Today's review of the Austrian stock indices results in a change in the composition of the ATX five and new free float factors for EVN AG and Immofinanz AG. The composition of the national index ATX remains unchanged. Wienerberger AG will replace BAWAG Group AG in the ATX five due to the higher free float capitalization in the last five trading days. The five largest companies on the Vienna Stock Exchange are thus Erste Group AG, OMV AG, Verbund AG, Raiffeisen Bank International AG and Wienerberger AG. The changes will be effective as of 21 September 2020. The composition of Austrian indices will be reviewed again in March 2021, the free float factors on 2 December 2020.

Moscow Exchange: Risk Parameters Changes For The Security GOOG-RM

Date 02/09/2020

As per the Securities market risk parameters methodology, on 02.09.2020, 19-55 (MSK) the upper bound of the price band (up to 133130) and initial margins (up to 17.5 %) for the security GOOG-RM were changed. New values are available here
CFTC Charges 5 Canadians, 1 American, And 4 Companies In $165 Million Global Binary Options Fraud Scheme

Date 02/09/2020

The Commodity Futures Trading Commission today announced the filing of a civil enforcement action in the U.S. District Court for the Western District of Texas charging six individuals and four companies with operating a fraudulent binary options trading scheme that received over $165 million in connection with illegal, off-exchange binary option transactions on currency pairs, oil, and other commodities.
Moscow Exchange: Risk Parameters Changes For The Security TWTR-RM

Date 02/09/2020

As per the Securities market risk parameters methodology, on 02.09.2020, 19-18 (MSK) the upper bound of the price band (up to 3490) and initial margins (up to 30 %) for the security TWTR-RM were changed. New values are available here
CFTC Approves LedgerX, LLC To Clear Fully-Collateralized Futures And Options On Futures

Date 02/09/2020

The Commodity Futures Trading Commission today announced it has approved an Amended Order of Registration for LedgerX, LLC to clear additional products, subject to the terms and conditions specified in the order, as a derivatives clearing organization under the Commodity Exchange Act.
ESMA Sees High Risk Of Decoupling Of Financial Market Performance And Underlying Economic Activity

Date 02/09/2020

The European Securities and Markets Authority (ESMA), the EU securities markets regulator, today publishes its second Trends, Risks and Vulnerabilities (TRV) Report of 2020. A webinar open to the public will be held on 9 September to present the report.