News Centre

SEC Updates List Of Firms Using Inaccurate Information To Solicit Investors - Enhanced Website Improves Main Street Investor Experience

Date 24/02/2020

The Securities and Exchange Commission today announced that it updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list by adding 25 soliciting entities and four fictitious regulators.  Additionally, the SEC is announcing enhancements to the PAUSE website, where the SEC provides the list of entities that falsely claim to be registered, licensed, and/or located in the United States, as well as entities that impersonate genuine U.S. registered securities firms and fictitious regulators, governmental agencies, or international organizations.  This will allow Main Street investors to better inform themselves and avoid being victims of fraud.

Deutsche Börse: Unscheduled Adjustment In SDAX - Adler Real Estate AG To Be Deleted From Index, Elmos Semiconductor AG To Be Added

Date 24/02/2020

On Monday, Qontigo announced an unscheduled change to the SDAX index. Due to the takeover of Adler Real Estate AG (DE0005008007) by ADO Properties (LU1250154413) the free float of Adler Real Estate AG falls below 10 percent. According to the Guide to the DAX Equity Indices, section 5.1.5. Adjustments in the Case of Mergers and Acquisitions, Adler Real Estate AG shares will be deleted from the SDAX index. They will be replaced by Elmos Semiconductor AG (DE0005677108).

The SEC’s Office Of Credit Ratings And NRSRO Regulation: Past, Present, And Future, Jessica Kane, Director, Office Of Credit Ratings, Las Vegas, NV, Feb. 24, 2020

Date 24/02/2020

Good morning.  Thank you, Kristi, for the kind introduction and for the invitation to join you here today.[1]

I’m pleased to speak to you about the work that the SEC’s Office of Credit Ratings or “OCR” has been doing in an area of critical importance to the financial markets—that is, the regulation of credit rating agencies.  The credit rating agencies we regulate are those that register with the Commission as nationally recognized statistical rating organizations, or “NRSROs”.

IIROC Confirms Experience With Investor Issues A Critical Skill For Board Succession - Regulator Plans To Add Board Expertise In Consumer, Seniors' Or Retail Investor Issues

Date 24/02/2020

The Investment Industry Regulatory Organization of Canada (IIROC) today announced that the criteria used to identify candidates for upcoming Independent Director positions on its Board has been formally amended to include direct experience with consumer and retail investor issues.

CFTC’s Technology Advisory Committee Releases Agenda For Upcoming Public Meeting

Date 24/02/2020

The Commodity Futures Trading Commission today released the agenda for the upcoming Technology Advisory Committee (TAC) public meeting that will be held February 26, 2020 at the CFTC’s headquarters in Washington, D.C.

Visit Of Dr. Zainab Ahmed –The Honourable Minister Of Finance, Budget And National Planning, Welcome Speech Delivered By: Oscar N. Onyema, OON – CEO, The Nigerian Stock Exchange, Monday, 24 February 2020, The Nigerian Stock Exchange Building

Date 24/02/2020

Dr. Zainab Shamsuna Ahmed – Honourable Minister of Finance, Budget and National Planning, Dr. Sarah Alade – Special Adviser to the President on Finance and Economy, Ms. Mary Uduk – Acting Director General, Securities and Exchange Commission

I must also acknowledge, the President of the National Council of the Nigerian Stock Exchange – Otunba Abimbola Ogunbanjo, other Members of the National Council of the Nigerian Stock Exchange, members of the Executive Committee, Heads of Department and Staff of The Nigerian Stock Exchange, CEOs of our Dealing Member Firms and our Listed Companies here present, Distinguished Ladies and Gentlemen.

MGEX Reports A Pair Of Top-25 Records

Date 24/02/2020

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), welcomes Friday, February 21st into the record book as the 20th best day in total volume with a total of 23,341 contracts traded.  

Eurex Clearing Expands Buy-Side Sales

Date 24/02/2020

Nick Barnes will join Deutsche Börse Group as Senior Vice President for Sales and Relationship Management on 1 March 2020. Concentrating on Eurex Clearing’s buy-side initiative, he will be based in London and report to Jonathan Lombardo, Head of Fixed Income Derivatives Funding & Financing Sales, Northern Europe. European Sales is led by Frank Gast, while Philip Simons heads Fixed Income Sales globally.

EEX Group And Nasdaq Futures, Inc. (NFX) Successfully Complete Transfer Of Freight Business

Date 24/02/2020

EEX Group has successfully completed the migration of Freight Open Interest from Nasdaq Futures, Inc. (NFX) to European Commodity Clearing (ECC), EEX Group’s clearing house. Following the third and final matching session, a total of 143,784 lots of Freight Open Interest, which equates to approximately 90% of the entire NFX Freight portfolio, has been migrated from NFX’s clearing house Options Clearing Corporation (OCC) to ECC.

Tehran Stock Exchange Starts Short-Selling Of Shares

Date 24/02/2020

The launching ceremony of short-selling of shares was carried out in the presence of Tehran Stock Exchange’s CEO, Iran Securities and Exchange Organization’s vice-president and Iran Fara Bourse’s CEO on Sunday, 23 February 2020.