News Centre

MIAX Options Exchange: MIAX Options - Updated November 1, 2016 Fee Changes

Date 31/10/2016

Effective November 1, 2016, pending SEC approval, the MIAX Options Fee Schedule will be amended.  In addition to what was announced in the MIAX Fee Alert October 27, 2016, MIAX will remove Alcoa Inc. (AA) from the MIAX Select Symbols.

A Vision For Data At The SEC - Commissioner Kara M. Stein - Keynote Address To Big Data In Finance Conference, Oct. 28, 2016

Date 31/10/2016

Thank you, Michael [Barr], for that kind introduction.  Thank you also to the University of Michigan and the Office of Financial Research for organizing this important conference.  I am pleased to be here with you today.  This conference is a vital opportunity to discuss some of the forces shaping financial markets and regulation.

Alberta Securities Commission Adopts Crowdfunding Rule Enabling Alberta’s Small And Medium Businesses To Raise Capital Online

Date 31/10/2016

The Alberta Securities Commission (ASC) announced today that it has adopted Multilateral Instrument 45-108 Crowdfunding (MI 45-108). The new rule is available immediately and introduces a crowdfunding prospectus exemption for issuers as well as a registration framework for funding portals.

U.S. Treasury: Report On U.S. Portfolio Holdings Of Foreign Securities

Date 31/10/2016

The findings from the annual survey of U.S. portfolio holdings of foreign securities at year-end 2015 were released today and posted on the Treasury web site at https://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx.

MIAX Options Exchange - MIAX Options - Daylight Saving Time - November 6, 2016

Date 31/10/2016

Please be advised the MIAX Options Exchange is scheduled to end Daylight Saving Time 2016 at 2:00 a.m. on Sunday, November 6, 2016.  The MIAX will adjust the system time back 1 hour for trading beginning Monday, November 7, 2016.

Amundi Launches New ETF Benchmarked To FTSE China A50 Index

Date 31/10/2016

• New ETF to be listed in Hong Kong
• 11 ETFs globally benchmarked to FTSE China A50
• c. US$7 billion AuM linked to FTSE Russell China indexes    

S&P Global Index Dashboard: Europe

Date 31/10/2016

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SEC: Company Co-Founder Charged In Manipulation Scheme - Other Co-Founder Agrees To $8 Million Settlement Of Separate Charges

Date 31/10/2016

The Securities and Exchange Commission today charged the co-founder of a Minnesota-based energy company with manipulating its stock price and concealing his control of the company to attain lucrative financial payouts. 

CFTC Issues Orders Of Registration To Five Foreign Boards Of Trade To Permit Trading By Direct Access From The U.S.

Date 31/10/2016

The U.S. Commodity Futures Trading Commission (CFTC) today issued Orders of Registration to the following Foreign Boards of Trade (FBOT):

• Eurex Deutschland (Eurex)
• CME Europe Limited (CMEEL)
• ICE Futures Europe (IFE)
• The London Metal Exchange (LME)
• London Stock Exchange plc. (LSE)

SEC: Audit Partner Charged In Failed Audits Of Venture Capital Fund

Date 31/10/2016

The Securities and Exchange Commission today announced proceedings against a PricewaterhouseCoopers audit partner who served as engagement partner for the independent audits of a venture capital fund.