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Federal Energy Regulatory Commission Holiday Schedule - Presidents' Day

Date 08/02/2016

FERC will be closed Monday, February 15, 2016 in observance of Presidents' Day.
A Conversation With SEC Chair Mary Jo White: Keynote Session, 43rd Annual Securities Regulation Institute, Chair Mary Jo White, San Diego, California, Jan. 26, 2016

Date 08/02/2016

SEC Chair Mary Jo White participated in a Q&A session with Steven Bochner, Chair of the Securities Regulation Institute. The Q&A was part of Northwestern University School of Law’s 43rd Annual Securities Regulation Institute. The event was held in San Diego, California.
ESMA, National Securities Regulators And ECB To Exchange Information

Date 08/02/2016

The European Securities and Markets Authority (ESMA) and the European Central Bank (ECB) have concluded a Memorandum of Understanding (MoU) that will allow the exchange of information and cooperation to help both authorities in fulfilling their respective mandates.
CFTC Issues An Exemption To The Korea Exchange Permitting Designated Korea Exchange Members To Deal Directly With U.S. Customers

Date 08/02/2016

The Commodity Futures Trading Commission (CFTC) today issued an Order to the Korea Exchange (KRX) permitting certain KRX Members to solicit and accept orders and in connection therewith, accept funds directly from U.S. customers for trading on KRX without having to register with the CFTC as futures commission merchants (FCMs). The order also permits these designated KRX Members to engage in marketing conduct in the U.S. for a period not to exceed thirty days. This exemption follows similar exemptions granted to other foreign exchanges or foreign regulators pursuant to Regulation 30.10.
The Nasdaq Stock Market® Kicks Off The New Year With Strong ETP Momentum - BlackRock, Van Eck, And Legg Mason Among Leading ETF Issuers To Select Nasdaq As Primary Venue For Transitioned And New Listings In January

Date 08/02/2016

Nasdaq (Nasdaq:NDAQ), the single largest U.S. equity exchange by market share, announced during the month of January, a collection of new and transitioned listings to further solidify its place as a quality primary listing and trading venue for ETPs.

Federal Court Orders New York Firm 4X Solutions, Inc. And Its Principal, Whileon Chay, To Pay More Than $10 Million In Disgorgement And A Civil Monetary Penalty For Forex Fraud Ponzi Scheme

Date 08/02/2016

The U.S. Commodity Futures Trading Commission (CFTC) today announced that on January 29, 2016, the Honorable Richard M. Berman, U.S. District Judge for the U.S. District Court for the Southern District of New York, ordered Defendants 4X Solutions, Inc. (4X) and its principal, Whileon Chay, both of New York City, jointly and severally to disgorge $2,745,226 and pay a civil monetary penalty of $8,235,678 in connection with a foreign currency (forex) trading Ponzi scheme (see CFTC Press Release and Complaint 6559-13, April 8, 2013, CFTC Charges New York Firm 4X Solutions, Inc. and its Principal, Whileon Chay, with Forex Fraud Ponzi Scheme).
CBOE Holdings To Present At KBW Winter Financial Services Symposium On Thursday, February 11

Date 08/02/2016

CBOE Holdings, Inc. (NASDAQ: CBOE) announced today that Edward T. Tilly, Chief Executive Officer, will present at the KBW Winter Financial Services Symposium in Boca Raton, Florida on Thursday, February 11 at 1:00 p.m. Eastern Time.
BCA Research And FiscalNote Partner To Provide Investors With Unique Investment Insights On U.S. Legislative Actions - Regulatory And Legislative Data Integrated With BCA’s Investment Research Expertise Allows Investors To Easily Factor Legislative Actions Into Investment Strategies

Date 08/02/2016

BCA Research, a leading provider of independent investment research, today announced it has partnered with FiscalNote, a technology startup building a revolutionary platform for analyzing government risk, to integrate U.S. policy data and analysis onto BCA’s digital platform BCA Edge.
Vescore AG Goes Live With SimCorp’s Integrated Front To Back Solution

Date 08/02/2016

SimCorp, a leading provider of investment management solutions and services for the global financial services industry, announces that Vescore AG, a Swiss asset manager with USD 14bn in assets under management, has successfully completed the implementation of SimCorp Dimension.
Moscow Exchange: Risk Parameters For New Securities

Date 08/02/2016

New bonds will be accepted to margin trading starting from February, 09 2016. From this date on, the following risk parameters will be applied: