News Centre

CAT Reporting Technical Specifications For Industry Members Version .6

Date 05/09/2018

CAT NMS, LLC published version 0.6 of the CAT Reporting Technical Specifications for Industry Members for Industry Member reporting to the CAT.  The Industry Members Technical Specifications are available on the CAT NMS Plan website at: https://www.catnmsplan.com/wp-content/uploads/2018/09/Industry-Member-Tech-Specs-Order-Events-v0.6.pdf. This version represents the last draft version that will be published for industry comment before the release of the final Industry Members Technical Specifications, targeted for October 30, 2018.

Statement On Senate Confirmation Of Elad L. Roisman: SEC Chairman Jay Clayton, Commissioner Kara M. Stein, Commissioner Robert J. Jackson Jr., Commissioner Hester M. Peirce

Date 05/09/2018

Congratulations to Elad on his successful Senate confirmation. We look forward to welcoming him back to the Commission to join us and our over 4,500 dedicated colleagues. We are confident Elad will make a substantial contribution to our mission on behalf of American investors.

CFTC Swaps Report Update

Date 05/09/2018

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

Wirecard AG To Be Included In DAX - New Composition For TecDAX, MDAX And SDAX - Deutsche Börse Applies New Index Rules - Changes To Be Effective As Of 24 September 2018

Date 05/09/2018

On Wednesday, Deutsche Börse announced changes to its equity indices, which will become effective as of 24 September 2018. The shares of Wirecard AG will be included in the DAX index, and will replace the shares of Commerzbank AG, which will move to MDAX.

MIAX Options - Change To The Price Protection Process Effective September 10, 2018

Date 05/09/2018

SEC Charges Two Men With Fraud In Fake Trading Accounts Scheme

Date 05/09/2018

The Securities and Exchange Commission today charged two Michigan men with fraud for their roles in a fake accounts scheme perpetrated by a phony day-trading firm, Nonko Trading.

Nasdaq August 2018 Volumes

Date 05/09/2018

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for August 2018, on its investor relations website. 

A data sheet showing the monthly volumes and quarterly capture rates can be found at: http://ir.nasdaq.com/financials/volume-statistics

SEC Charges Cannabis Investment Fund And Founder In Fraudulent Scheme - Agency Warns Retail Investors About Risks Of Marijuana-Related Investments

Date 05/09/2018

The Securities and Exchange Commission today charged a Texas-based investment fund and its founder with defrauding investors with false promises of massive returns in cannabis-related businesses.  The SEC also issued an alert to warn retail investors about marijuana-related securities offerings.

SIFMA Statement On Senate Confirmation Of Elad Roisman As SEC Commissioner

Date 05/09/2018

SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the Senate confirmation of Elad Roisman as Commissioner of the U.S. Securities and Exchange Commission (SEC):

“We congratulate Elad Roisman on his confirmation as SEC commissioner and look forward to working with him on issues of importance to investors that enhance our capital markets, help stimulate economic growth and create jobs.”

FTSE UK Index Series Quarterly Review September 2018

Date 05/09/2018

• No changes to the FTSE 100
• Four changes to the FTSE 250