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  • Leno Corporate Services Becomes A BISX Broker Dealer

    Date 03/07/2014

    The Bahamas International Securities Exchange (BISX) is pleased to announce that Leno Corporate Services Limited (LENO) has become a BISX Broker-Dealer Member.

  • US Federal Agencies Release Public Sections Of Resolution Plans

    Date 02/07/2014

    The Federal Reserve Board and the Federal Deposit Insurance Corporation (FDIC) on Wednesday released the public portions of annual resolution plans for 17 financial firms. Each plan must describe the company's strategy for rapid and orderly resolution under the U.S. Bankruptcy Code in the event of material financial distress or failure of the company.

  • SEC Charges Five Traders With Short Selling Violations

    Date 02/07/2014

    The Securities and Exchange Commission today charged five traders for committing short selling violations while trading for themselves and Worldwide Capital Inc., a Long Island, N.Y.-based proprietary firm that earlier this year paid the largest-ever monetary sanction for Rule 105 violations.

  • FINRA Bars Broker For Insider Trading In Japanese Securities

    Date 02/07/2014

    The Financial Industry Regulatory Authority (FINRA) announced today that it has barred Kenneth Ronald Allen, a former equity trader at First New York Securities L.L.C., from the securities industry for trading Japanese securities on the basis of material, non-publicized information that he received from a corporate insider.

  • James McNamara Named As SEC Deputy Chief Human Capital Officer In The Office Of Human Resources

    Date 02/07/2014

    The Securities and Exchange Commission today announced that James McNamara has been selected as the deputy chief human capital officer in its Office of Human Resources.