News Centre

FINRA Board Approves $50 Million Contribution To The FINRA Foundation - Contribution To Provide Ongoing Support For Research And Education Aimed At Improving The Financial Capability Of Individuals And Families Nationwide

Date 12/02/2015

The Board of Governors of the Financial Industry Regulatory Authority (FINRA) approved a $50,000,000 contribution to the FINRA Investor Education Foundation to provide continuing support for the Foundation’s innovative research and education efforts.

Pamela C. Dyson Named SEC Chief Information Officer

Date 12/02/2015

The Securities and Exchange Commission today announced that Pamela C. Dyson has been appointed as the SEC’s Chief Information Officer (CIO) in charge of overseeing the agency’s information technology functions.

Autorité des Marchés Financiers: Virtual Currency ATMs And Trading Platforms Must Be Authorized

Date 12/02/2015

In Québec, businesses operating a virtual currency automated teller machine or a platform for trading virtual currency must obtain a licence issued by the Autorité des marchés financiers (the “AMF”) pursuant to the Money-Services Businesses Act (the “Act”).

Canadian Securities Regulators Seek Comment On Derivatives Rule Relating To Mandatory Central Counterparty Clearing

Date 12/02/2015

Members of the Canadian Securities Administrators (CSA) today published for comment Proposed National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (the Clearing Rule).

FESE De La Vega Prize 2015: Competition Is open!

Date 12/02/2015

The Federation of European Securities Exchanges (FESE) will award the Josseph de la Vega Prize 2015 for an outstanding research paper related to the securities markets in Europe.

SEC Announces Agenda, Panelists For Proxy Voting Roundtable

Date 12/02/2015

The Securities and Exchange Commission today announced the agenda and panelists for its February 19 roundtable on ways to improve the proxy voting process.

CFTC’s Division Of Market Oversight Extends Conditional Time-Limited No-Action Relief To Australian-Based Trading Platform Yieldbroker Pty Limited

Date 12/02/2015

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced the issuance of a no-action letter extending the conditional time-limited relief provided in CFTC No-Action Letter No. 13-76 for Australian-based trading platform Yieldbroker Pty Limited (Yieldbroker).

Tel Aviv Stock Exchange Weekly Review: 8-12 February 2015

Date 12/02/2015

Trading on the Tel Aviv Stock Exchange (TASE) during the second week of February was characterized by a mixed trend in the leading share indices; A new dual-listed company - "Ormat Technologies" completed a dual listing on the TASE

SEC Charges Mutual Fund Adviser In Connection With Improper Handling Of Fund Assets

Date 12/02/2015

The Securities and Exchange Commission today charged an investment adviser to several alternative mutual funds for maintaining millions of dollars of the funds’ cash collateral at broker-dealer counterparties instead of the funds’ custodial bank.  The violations were uncovered during an SEC examination of the firm and the funds it manages.

MGEX Reports Pair Of Records From Wednesday

Date 12/02/2015

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports top 20 daily records from both total volume and electronic volume following Wednesday’s activity. Total volume ended the day at 16,954, good enough for 17th-best on the all-time list, while electronic volume also ranked 17th, coming in at 14,171.