News Centre

ISE Holdings Reports Business Activity For July 2015

Date 03/08/2015

• ISE and ISE Gemini combined represent 16.8% of equity options market share, excluding dividend trades.
• ISE and ISE Gemini reported a combined ADV of 2.6 million contracts.
• Dividend trades made up 0.4% of industry volume in July 2015.

CBOE Holdings Reports July 2015 Trading Volume

Date 03/08/2015

• Total Volume of 106.5 Million Contracts Up 7% From June, Down 2% From Year Ago  
• ADV of 4.8 Million Contracts, Up 7% From June, 
  Down 2% From Year Ago

FINRA Fines Aegis Capital Corp. $950,000 For Sales Of Unregistered Penny Stocks And AML Violations - Two Chief Compliance Officers Fined And Suspended - Aegis CEO Fined And Suspended For Failure To Report Liens

Date 03/08/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $950,000 for improperly selling unregistered penny stocks and for related supervisory failures, and for failing to implement anti-money laundering (AML) policies and procedures. Aegis is also required to retain an independent consultant to review its supervisory and AML systems and procedures. In addition, Charles D. Smulevitz and Kevin C. McKenna, who served successively as Chief Compliance and AML Compliance Officers at the time of the violations, agreed to 30- and 60-day principal suspensions, and fines of $5,000 and $10,000, respectively, for their supervisory and AML failures. In a separate proceeding, Robert Eide, Aegis’s President and CEO, was suspended for 15 days and fined $15,000 for failing to disclose more than $640,000 in outstanding liens.

CFTC Charges Illinois Resident Husam Tayeh, Dinar Corp., Inc., And My Monex, Inc. With Fraud And Other Violations Involving Foreign Currency Scheme - Federal Court Issues Emergency Order Freezing Assets And Protecting Books And Records

Date 03/08/2015

The U.S. Commodity Futures Trading Commission (CFTC) today announced the unsealing of a civil enforcement action filed in the U.S. District Court for the Middle District of Alabama, charging Husam Tayeh of Oak Lawn, Illinois; Dinar Corp., Inc. (DCI), a Nevada corporation; and My Monex, Inc.(Monex NV), a Nevada corporation (collectively, the Defendants), with operating a fraudulent scheme involving foreign currency (forex), and failing to register with the CFTC as required by federal law. The CFTC Complaint further names Theodore S. Hudson, II and his company My Monex, Inc., an Alabama corporation (Monex AL), both of Dothan, Alabama, as Relief Defendants.

BM&FBOVESPA Announces The First Preview For Ibovespa And Other Indices

Date 03/08/2015

BM&FBOVESPA announces the first preview for the BOVESPA Index (Ibovespa) theoretical portfolio, which will be valid for the period of September 08-December 30, 2015, based on the closing of the July 31, 2015 trading session. RADL3 (RAIADROGASIL ON) is a new addition to this portfolio, which is now made up of 64 stocks from 60 companies.

S&P Dow Jones Indices Market Attributes: Correlation & Dispersion Index Dashboard

Date 03/08/2015

Download this month's dashboard

SEC Charges Houston-Area Businessman In Ponzi Scheme

Date 03/08/2015

The Securities and Exchange Commission today charged a Houston-area businessman with operating a $114 million Ponzi scheme that defrauded investors, some of whom were told that their money would fund technology to prevent accidents caused by drowsy driving.

OneChicago Announces Trading Volume For July 2015 – Up 44% Over A Year Ago – Average July Block Trade Size Was 347 (34,700 Share Equivalent)

Date 03/08/2015

OneChicago, LLC (OCX), a securities finance exchange, today announced its July 2015 volume of 1,164,177, an increase of 44% year-over-year. OneChicago is a CFTC and SEC regulated exchange offering Single Stock Futures (SSF), a Delta One product, on approximately 1,500 equities, including ADRs and ETFs.

ESMA Confirms 4 Week Renewal Of Greek HCMC Short Selling Ban – Market Making Is Exempted

Date 03/08/2015

The European Securities and Markets Authority (ESMA) has issued its official opinion agreeing to a further renewal, for a period of four weeks, of the emergency short selling prohibition originally imposed by the Hellenic Capital Market Commission (HCMC) under the Short Selling Regulation on Tuesday 30 June.

UK's Financial Conduct Authority: Statement On The Financial Advice Market Review

Date 03/08/2015

Today the Financial Conduct Authority (FCA) and HM Treasury have launched the Financial Advice Market Review (FAMR) which will examine how financial advice could work better for consumers.