News Centre

SEC To Hold National Compliance Outreach Seminar For Investment Companies And Investment Advisers

Date 09/03/2016

The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors.

MIAX Options Exchange - Mandatory Market Data Feed Migration (ToM, MOR, AIS)

Date 09/03/2016

MIAX Options will be migrating the following feeds to conform with the most recent interface specification versions supporting Complex Orders.  This migration is scheduled for completion prior to activation of Complex Order functionality which is subject to SEC approval:

SEC: Tech Company Misled Investors About Key Product

Date 09/03/2016

The Securities and Exchange Commission today announced that a developer of technologies for touchscreen devices has agreed to pay $750,000 to settle charges that it misled investors about the production status and sales agreements for a key product.

CFTC Swaps Report Update

Date 09/03/2016

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

SIFMA Market Close Recommendations For The Good Friday And UK Easter Monday Holidays In The US, The UK And Japan

Date 09/03/2016

SIFMA has confirmed its previous holiday recommendations for the trading of U.S. dollar-denominated fixed-income securities in the US, the UK, and Japan in observance of the Good Friday and UK Easter Monday holidays. 

CalPERS Settles Moody's Negligent Ratings Case For Record $130 Million

Date 09/03/2016

The California Public Employees' Retirement System (CalPERS) today announced it has settled its case against Moody's and Moody's Investors' Services (Moody's) for a record $130 million. The case stemmed from Moody's erroneous ratings of "AAA" rated structured investment vehicles prior to the financial crisis. Early in 2015, CalPERS settled with defendant Standard & Poor's (S&P) for $125 million, bringing total recovery from the now-concluded lawsuit to $255 million.

CFTC Financial Data For Futures Commission Merchants Update

Date 09/03/2016

This information has recently been updated, and is now available.

http://www.cftc.gov/MarketReports/FinancialDataforFCMs/index.htm

SIFMA Research: Long Term Securities Issuance Increases 7.1% In 2015 To $6.7 Trillion

Date 09/03/2016

SIFMA issued its Research Quarterly for the fourth quarter and full year of 2015 today.  The report notes long-term securities issuance totaled $1.48 trillion in 4Q'15, an 8.5 percent decline from $1.62 trillion in 3Q'15 and a 4.9 percent decrease year-over-year (y-o-y) from $1.56 trillion in 4Q'14. Issuance fell quarter-over-quarter (q-o-q) across all asset classes with mortgage-backed, asset-backed and equity recording the largest percentage declines. For full year 2015, long-term issuance totaled $6.7 trillion, an increase of 7.1 percent from $6.3 trillion in 2014. The annual increase was driven primarily by increase in mortgage-related and corporate bond issuance.

SEC: Insider Traders Returning Illegal Profits And Kickbacks

Date 09/03/2016

The Securities and Exchange Commission today announced that a Florida man trading on inside information ahead of a pharmaceutical company merger and a friend who tipped him have agreed to settle enforcement actions against them.

Euronext Announces Annual Review Of The AEX, AMX And AScX

Date 09/03/2016

Euronext, the leading exchange in the Eurozone, today announces the results of the annual review of the AEX®, AMX®and AScX®indices. The changes due to the review will be effective from Monday 21 March 2016.