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Nasdaq Stockholm Orders CybAero To Pay A Fine Corresponding To Three Annual Fees

Date 13/07/2017

The Disciplinary Committee of Nasdaq Stockholm has found that CybAero AB (“CybAero” or “the Company”) has breached the Nasdaq First North Rule Book (“the Rule Book”) in several respects and, accordingly, has imposed a fine on CybAero amounting to three annual fees, corresponding to an amount of SEK 341,890.
National Finance Association Confirms The Conformance Of Repo Agreements Using NSD’s Collateral Management Services With Master Agreement Standards

Date 13/07/2017

National Finance Association (NFA), a self-regulatory organization which brings together Russian financial market participants, has confirmed the compliance of the form of the Master Agreement for general terms for concluding repo contracts utilizing National Settlement Depository’s collateral management services with NFA’s standards.
New Zealand's Financial Markets Authority: Former RFA Sentenced At Auckland District Court

Date 13/07/2017

A former registered financial adviser who forged clients’ initials and falsely amended insurance applications has been sentenced to 150 hours of community work, 6 months community detention and ordered to pay reparations of $16,461.24.
NYSE Group Consolidated Short Interest Report

Date 13/07/2017

NYSE today reported short interest as of the close of business on the settlement date of June 30, 2017.
Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date June 30, 2017

Date 13/07/2017

At the end of the settlement date of June 30, 2017, short interest in 2,327 Nasdaq Global MarketSM securities totaled 7,605,955,093 shares compared with 7,678,787,261 shares in 2,328 Global Market issues reported for the prior settlement date of June 15, 2017. The end-of-June short interest represents 3.91 days average daily Nasdaq Global Market share volume for the reporting period, compared with 4.94 days for the prior reporting period.

FINRA Posts Guidance On Enhanced Price Disclosure To Retail Investors For Corporate And Agency Bonds

Date 12/07/2017

The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in corporate and agency bonds. The new requirements go into effect May 14, 2018.
SEC Files Insider Trading Charges Against Research Scientist Aiming To Avoid SEC Detection

Date 12/07/2017

The Securities and Exchange Commission today announced insider trading charges against a research scientist who allegedly searched the internet for “how sec detect unusual trade” before making a trade that the agency flagged as suspicious through data analysis.
Nadex Product Schedule For The Japan Holiday On Monday, July 17, 2017

Date 12/07/2017

Due to the Japan Holiday on Monday, July 17, 2017, the Japan 225 contracts will have a modified trading schedule. Please refer to the Holiday Product Schedule Guidelines for specific product trading hours.
CFTC Swaps Report Update

Date 12/07/2017

CFTC's Weekly Swaps Report has been updated, and is now available.
SEC Announces Charges In Massive Telemarketing Boiler Room Scheme Targeting Seniors

Date 12/07/2017

The Securities and Exchange Commission today brought fraud charges against 13 individuals allegedly involved in two Long Island-based cold calling scams that bilked more than one hundred victims out of more than $10 million through high-pressure sales tactics and lies about penny stocks.