News Centre

British Columbia Securities Commission Panel Finds West Vancouver Woman Made False Statements To Investigators And Dismisses Allegations Of Misrepresentation, Market Manipulation, And Illegal Distribution

Date 03/02/2017

A British Columbia Securities Commission (BCSC) panel has found that Christine Maria Cerisse made false or misleading statements to BCSC investigators. In the same decision, the panel dismissed allegations of misrepresentation, market manipulation, and illegal distribution against Cerisse and two other B.C. residents, Laurence (a.k.a. Lawrence) Frederick Austin, and Thomas John Sadler. 

SIFMA Commends Presidential Action to Review Financial Regulatory Framework

Date 03/02/2017

SIFMA today released a statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, regarding the executive order from President Trump calling for review of the nation’s financial regulatory framework and its impact on the markets and the economy: 

“SIFMA has long called for a cumulative review of financial regulations including those put in place since 2008 and we commend the Trump Administration taking this action. Our capital markets are the envy of the world and also among the most regulated sectors in the U.S. economy. It is imperative to ensure that our financial regulatory framework does not unnecessarily impede capital formation that drives job creation, economic growth and investor opportunity in this country."

MIAX PEARL Confirms February 6, 2017 Launch Date

Date 03/02/2017

MIAX PEARL, the newest U.S. equity options exchange, today confirmed that it will launch trading operations on Monday, February 6, 2017 at 9:30 a.m., Eastern Standard Time. MIAX PEARL further confirmed that IBM will be its first symbol listed for options trading. MIAX PEARL is the second exchange offered by its parent holding company Miami International Holdings, Inc. The first exchange, MIAX Options, began operations in December of 2012, and executed 6.81% of U.S. equity options industry volume in 2016. To date, MIAX Options has executed more than 690 million contracts.

SEC Charges Financial Adviser With Stealing From Client Accounts

Date 03/02/2017

The Securities and Exchange Commission today charged an investment adviser representative with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to third parties to cover personal expenses.

MIAX PEARL Options Regulatory Fee Rule Filing

Date 03/02/2017

MIAX PEARL has filed with the Securities and Exchange Commission to implement an Options Regulatory Fee (“ORF”) of $0.0010 per contract at the commencement of trading on Monday, February 6, 2017. See SR-PEARL-2017-09.

FIA Issues Statement On Regulatory Review Announced By White House

Date 03/02/2017

In response to the executive order issued today by the White House that directed the Treasury Secretary to conduct a 120-day review of financial system regulation, FIA released the following statement from FIA President and CEO Walt Lukken:

"We applaud the President's call to launch a comprehensive review of the laws and regulations governing the financial system. As we said in our letter on Jan. 25, now is the time to review and simplify the regulations put in place following the financial crisis and determine whether these regulations are in fact meeting their public objectives. FIA supports thoughtful regulations that protect investors and promote safe and healthy markets. We look forward to providing stakeholder input into the review process."

CFTC Commitments Of Traders Reports Update

Date 03/02/2017

The current reports for the week of January 31, 2017 are now available.

33rd Annual CBOE Risk Management Conference U.S. 2017 - Leading Institutional Derivatives, Volatility Traders To Meet In Dana Point, California, March 8 – 10

Date 03/02/2017

Chicago Board Options Exchange® (CBOE®) will host the 33rd annual CBOE Risk Management Conference (RMC) U.S. from Wednesday, March 8 through Friday, March 10, 2017, at the Monarch Beach Resort in Dana Point, California.    

ESMA Publishes Practical Guide To National Rules Across EEA On Major Holdings Notifications Under Transparency Directive

Date 03/02/2017

The European Securities and Markets Authority (ESMA) has published a Practical Guide to national rules across the European Economic Area (EEA) on major holdings notifications under the Transparency Directive to help market participants navigate the different requirements.

CME Group Chairman And Chief Executive Officer And Chief Financial Officer To Present At Credit Suisse Conference

Date 03/02/2017

CME Group announced today that Chairman and Chief Executive Officer Terry Duffy and Chief Financial Officer John Pietrowicz will present at the Credit Suisse 18th Annual Financial Services Forum, on Tuesday, February 7 at 9:30 a.m. Eastern Time.