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FINRA Fines Barclays Capital Inc. $1.3 Million For Extensive OATS Reporting Violations And Related Supervisory Failures

Date 03/08/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures.

Intercontinental Exchange Reports ICE & NYSE July 2016 Statistics

Date 03/08/2016

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today reported July 2016 trading volume and related revenue statistics, which can be viewed on the company’s investor relations website at http://ir.theice.com/ir-resources/supplemental-information in the Monthly Statistics Tracking spreadsheet. 

CFTC Orders Georgia Resident Jonathan A. Parker And His Company QuantX Capital, LLC To Pay A Civil Monetary Penalty And Restitution Totaling More Than $1 Million For Engaging In Foreign Exchange Commodity Pool Fraud - Parker And QuantX Misappropriated At Least $341,500 Of Customer Funds For Business And Personal Expenses

Date 03/08/2016

The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Jonathan A. Parker and QuantX Capital, LLC (QuantX), both of Marietta, Georgia, jointly and severally to pay a $680,000 civil monetary penalty and restitution totaling $341,500 and imposing permanent trading and registration bans on them for committing fraud and misappropriation in connection with operating a commodity pool that offered leveraged or margined off-exchange foreign currency (forex) transactions. Parker, a former CFTC registrant, is the CEO, President, and sole owner of QuantX and is responsible for all the company’s activities.

Intercontinental Exchange Plans 5-For-1 Stock Split - Board Approves Third Quarter $0.85 Dividend And Authorizes $1 Billion In Share Repurchases

Date 03/08/2016

Intercontinental Exchange (NYSE: ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, announced today that its Board of Directors has approved pursuing an effective 5-for-1 stock split of ICE’s common stock that will be distributed in the form of a four share stock dividend per share. The proposal is subject to both Securities and Exchange Commission (SEC) and stockholder approval of the adoption of an amendment and restatement to ICE’s Certificate of Incorporation to increase the authorized shares of common stock and capital stock.

Nasdaq Filing Of Quarterly Report For Quarter Ended June 30, 2016

Date 03/08/2016

On August 3, 2016, Nasdaq filed its quarterly report on Form 10-Q for the quarter ended June 30, 2016 with the U.S. Securities and Exchange Commission. The Form 10-Q can be accessed on Nasdaq's website at http://ir.nasdaq.com/sec.cfmand on the SEC's website at http://www.sec.gov.

Intercontinental Exchange Reports Seventh Consecutive Quarter Of Double-Digit Earnings Growth

Date 03/08/2016

• $1.1B revenues, less transaction-based expenses in the second quarter of 2016
• GAAP 2Q16 diluted EPS of $2.98, +17% y/y
• Adjusted 2Q16 diluted EPS of $3.43, +18% y/y

Borsa Italiana Monthly Update July 2016

Date 03/08/2016

Click here to download Borsa Italiana's monthly update for July 2016.

Office Of The Comptroller Of The Currency: Peggy Sherry Named Deputy Chief Financial Officer

Date 03/08/2016

The Office of the Comptroller of the Currency (OCC) today announced the selection of Peggy Sherry to be the agency’s Deputy Chief Financial Officer.

EBA Recommends Introducing The Leverage Ratio In The EU

Date 03/08/2016

The European Banking Authority (EBA) published today its report on the impact assessment and calibration of the Leverage Ratio (LR), recommending the introduction of a LR minimum requirement in the EU to mitigate the risk of excessive leverage. The analysis suggests that the potential impact of introducing a LR requirement of 3% on the provision of financing by credit institutions would be relatively moderate, while, overall, it should lead to more stable credit institutions. The report will inform the work of the European Commission on potential legislative proposals on LR.

FTC To Host FinTech Forum On Crowdfunding And Peer-To-Peer Payments On Oct. 26

Date 03/08/2016

The Federal Trade Commission will host its second FinTech Forum on Oct. 26, focusing on two topics of increasing interest to consumers: crowdfunding and peer-to-peer payment systems. The event is designed to bring together perspectives from across the landscape of these two growing sectors, and it will include separate panels exploring each one.