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  • CFTC Swaps Report Update

    Date 14/01/2015

    CFTC's Weekly Swaps Report has been updated, and is now available.

  • Deutsche Börse: Unscheduled Component Changes SDAX: Hella KGaA Hueck & Co Will Replace C.A.T. Oil

    Date 14/01/2015

    Deutsche Börse has announced that C.A.T. Oil AG will be replaced by Hella KGaA Hueck & Co. in SDAX. Due to the takeover of C.A.T. Oil AG by Joma Industrial Source Corp, the free float of C.A.T. Oil AG has dropped from 41.31 percent to 1.95 percent. With a free float below 10 percent, the company is ineligible for index inclusion, according to the rulebook. 

  • Canadian Securities Exchange Enjoys Record Year In 2014

    Date 14/01/2015

    The Canadian Securities Exchange (“CSE”) is pleased to announce record results in all key performance categories for the year ended December 31, 2014, reflecting success in achieving the exchange’s goal of reducing the cost of capital for Canadian public companies.  For 2015, the CSE expects growth to remain strong as it maintains existing activities and introduces several new initiatives to further strengthen competitiveness.

  • FINRA Hearing Panel Expels John Carris Investments And Bars CEO George Carris For Fraud

    Date 14/01/2015

    The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled John Carris Investments, LLC (JCI) and barred CEO George Carris from the securities industry for fraud and suitability violations. The panel found that JCI and George Carris recklessly sold shares of stock and promissory notes issued by JCI's parent company using misleading statements and by omitting material facts. Andrey Tkatchenko, a registered representative, was suspended for two years and fined $10,000 for recommending the stock and promissory notes without a reasonable basis. JCI and Carris were also expelled and barred for manipulating the price of Fibrocell stock. The panel found that JCI and Carris manipulated the price of Fibrocell stock through unfunded purchases of large blocks of the stock and pre-arranged trading accomplished through reported matched limit orders. Head Trader Jason Barter was suspended for 18 months, fined $5,000 and must re-qualify to enter the securities industry for his role in the manipulation of the Fibrocell stock. The ruling resolves charges brought by FINRA's Department of Enforcement inSeptember 2013.

  • SEC Adopts Rules To Increase Transparency In Security-Based Swap Market - Commission Also Proposes Additional Security-Based Swap Transaction Reporting Rules And Guidance

    Date 14/01/2015

    The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data.  The SEC also proposed certain additional rules, rule amendments and guidance related to the reporting and public dissemination of security-based swap transaction data.  The new rules are designed to increase transparency in the security-based swap market and to ensure that SDRs maintain complete records of security-based swap transactions that can be accessed by regulators.

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