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LME Week Asia 2015 To Kick Off On 19 May

Date 07/05/2015

The third annual LME Week Asia, Asia's leading metals event hosted by Hong Kong Exchanges and Clearing Limited (HKEx) and the London Metal Exchange (LME), begins on Tuesday 19 May with an impressive line-up of speakers, panel discussions, and events that promise to make this year's event the largest ever.
Qatar Stock Exchange Opens London Investor Forum To Promote Investment In Qatar Listed Companies

Date 07/05/2015

Qatar Stock Exchange (QSE), in collaboration with QNB Financial Services and HSBC, yesterday opened a 2-day roadshow in London to enhance investor relations between international investment institutions and Qatari listed companies. The forum was attended by H.E. Yousef bin Ali Al-Khater, Qatar Ambassador to the United Kingdom.
SEC Approves Pilot To Assess Tick Size Impact For Smaller Companies

Date 06/05/2015

The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or tick sizes–for stocks of some smaller companies. The SEC plans to use the pilot program to assess whether wider tick sizes enhance the market quality of these stocks for the benefit of issuers and investors.
MIAX Options Exchange: New Rules Regarding Nullification And Adjustment Of Options Transactions Including Obvious Errors, Operative May 8, 2015

Date 06/05/2015

Effective Friday, May 8, 2015, MIAX has adopted new harmonized MIAX Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors.
Nasdaq Shareholders Elect Members To Board Of Directors

Date 06/05/2015

Nasdaq (Nasdaq:NDAQ) shareholders today elected all nominated directors at the Annual Meeting of Shareholders. Board members Charlene T. Begley, Steven D. Black, Börje E. Ekholm, Robert Greifeld, Glenn H. Hutchins, Essa Kazim, Thomas A. Kloet, John D. Markese, Ellyn A. McColgan, Michael R. Splinter, and Lars R. Wedenborn were elected to their positions. Subsequent to the Annual Meeting, Börje E. Ekholm was re-elected to serve as Chairman of the Board by the Board of Directors.

SEC Charges Four Former Officers Of Delaware Bank Holding Company With Disclosure Fraud

Date 06/05/2015

The Securities and Exchange Commission today filed fraud charges against four former officers of Wilmington Trust for intentionally understating past due bank loans during the financial crisis. The former Delaware-based bank holding company was acquired by M&T Bank in May 2011 and paid $18.5 million in September 2014 to settle related SEC charges of improper accounting and disclosure fraud.
TMX Group Equity Financing Statistics – April 2015

Date 06/05/2015

TMX Group today announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for April 2015.
CFTC Swaps Report Update

Date 06/05/2015

CFTC's Weekly Swaps Report has been updated, and is now available.
FINRA Sanctions LPL Financial LLC $11.7 Million For Widespread Supervisory Failures Related To Complex Products Sales, Trade Surveillance And Trade Confirmations Delivery - LPL Ordered To Pay Approximately $1.7 Million In Restitution To Customers

Date 06/05/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has censured LPL Financial LLC and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (ETFs), certain variable annuity contracts, non-traded real estate investment trusts (REITs) and other complex products, as well as its failure to monitor and report trades and deliver to customers more than 14 million trade confirmations. In addition to the fine, FINRA ordered LPL to pay approximately $1.7 million in restitution to certain customers who purchased non-traditional ETFs. The firm may pay additional compensation to ETF purchasers pending a review of its ETF systems and procedures.
Investor-State Dispute Settlement Proposals Debated With European Commissioner Malmström

Date 06/05/2015

A lively debate on the proposal for “reformed system” to resolve disputes between foreign investors and states in the Transatlantic Trade and investment partnership (TTIP) deal, currently being negotiated between the EU and the United states, took place between Trade Committee MEPs and EU Trade Commissioner Malmström on Wednesday afternoon.