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  • SEC Charges Former Professional Football Player With Running $10 Million Fraud

    Date 10/08/2016

    The Securities and Exchange Commission today charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with defrauding investors, including coaches he knew from his time playing football for the Fork Union Military Academy and the University of Virginia.

  • Deutsche Boerse Shares Replaced By Deutsche Boerse Tendered Shares In STOXX Indices

    Date 10/08/2016

    STOXX Ltd., the operator of Deutsche Boerse Group’s index business, and a global provider of innovative and tradable index concepts, today announced adjustments in several STOXX indices. As a result of the expected merger with London Stock Exchange, the Deutsche Boerse shares (DE0005810055, Financial Services, Germany) in the STOXX Global 1800, STOXX Europe 600, and sub-indices will be replaced with the Deutsche Boerse Tendered shares (DE000A2AA253, Financial Services, Germany). This change will be effective Aug. 15, 2016.

  • Kristin Snyder Named Co-Head Of SEC’s Investment Adviser - Investment Company Examination Program

    Date 10/08/2016

    The Securities and Exchange Commission today announced that Kristin Snyder has been named Co-National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE).  She joins Co-National Associate Director Jane Jarcho who has led the program since August 20, 2013 and was named OCIE’s Deputy Director on February 3, 2016.  Together, Ms. Jarcho and Ms. Snyder oversee more than 520 lawyers, accountants, and examiners responsible for inspections of SEC registered investment advisers and investment companies.  

  • MIAX Options - New Complex Order Rules Pending SEC Approval

    Date 10/08/2016

    MIAX filed SR_MIAX_2016_26 to adopt new rules to govern the trading of Complex Orders on MIAX.

  • SEC: Company Paying Penalty For Violating Key Whistleblower Protection Rule

    Date 10/08/2016

    The Securities and Exchange Commission today announced that an Atlanta-based building products distributor is settling charges that it violated securities laws by using severance agreements that required outgoing employees to waive their rights to monetary recovery should they file a charge or complaint with the SEC or other federal agencies.

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