News Centre

SEC, European Regulators Establish Supervisory Cooperation Arrangements Related To The Asset Management Industry

Date 20/07/2013

The Securities and Exchange Commission today announced that it has established supervisory arrangements with financial regulators of the member states of the European Union (EU) and the European Economic Area (EEA) as part of long-term strategy to improve the oversight of certain entities in the asset management industry that operate across national borders. 

S&P Dow Jones Indices Announces Changes To The S&P/TSX Canadian Indices - A Deletion From The S&P/TSX SmallCap Index

Date 19/07/2013

S&P Dow Jones Canadian Index Services will make the following changes in the S&P/TSX Canadian Indices:

The shareholders of Sprott Resource Lending Corp. (TSX:SIL) have agreed to a Plan of Arrangement with Sprott Inc. (TSX:SII). Sprott Resource Lending shareholders will receive one-half share of Sprott Inc. and $CDN0.15 cash for each share held. Sprott Resource Lending Corp. will be removed from the S&P/TSX SmallCap Index after the close of trading on Friday, July 26, 2013.

BATS 1000 Index Jumps 1.0% This Week

Date 19/07/2013

BATS Global Markets, a leading operator of securities markets in the U.S. and  Europe, reports the BATS 1000® Index (Ticker: BATSK) advanced 182.35 points, or 1.0% this week to close at 19,024.82 as of the 4 p.m. ET market close today. 

CFTC Commitments Of Traders Reports Update

Date 19/07/2013

The updated current reports for the week of July 16, 2013 are now available.

SEC Charges City Of Miami And Former Budget Director With Municipal Bond Offering Fraud

Date 19/07/2013

The Securities and Exchange Commission today charged the city of Miami and its former budget director with securities fraud in connection with several municipal bond offerings and other disclosures made to investors. 

CFTC’s Division Of Clearing And Risk Issues Extension Of Time-Limited No-Action Relief From Required Clearing For Swaps Entered Into By Certain Cooperatives

Date 19/07/2013

The Division of Clearing and Risk (DCR) of the Commodity Futures Trading Commission (Commission) today announced the issuance of a time-limited, no-action letter granting relief from required clearing under section 2(h)(1)(A) of the Commodity Exchange Act and part 50 of the Commission’s regulations for certain swaps entered into by qualifying cooperatives.

SEC Charges Steven A. Cohen With Failing To Supervise Portfolio Managers And Prevent Insider Trading

Date 19/07/2013

The Securities and Exchange Commission today announced charges against hedge fund adviser Steven A. Cohen for failing to supervise two senior employees and prevent them from insider trading under his watch.

FIF Capacity Statistics For June 2013:- Two New Record Peaks: BATS Options MCASTPITCH AGG And Nasdaq UQDF

Date 19/07/2013

This month’s bulletin from the Financial Information Forum (FIF) finds that SIAC OPRA was up 14% to 6,640,102 mps over the 1 second interval, just 3% off the April 2013 record peak.

TOM MTF Statistics Week 29, 2013

Date 19/07/2013

Click here to download the weekly statistics update of TOM MTF for week 29 - 2013. 

June 2013 FIF Market Share And Market Dynamics Reports – Executive Summary

Date 19/07/2013

U.S. Equities Market Share

• Share volumes traded across Tape A, B, and C totaled 142.4 billion shares, an increase of 1.6% monthly, but a decrease of 1.5% annually.
• In June 2013, off-exchange trading accounted for 34.5% of the shares traded in NMS Equity Securities, a decrease of 1.7% compared to last month.
• NYSE-listed securities share volume was 75.1 billion shares, a decrease of 2.0% monthly and 8.0% annually.
• Share volume in NASDAQ-listed securities was 36.5 billion shares, a 4.2% monthly decrease, and a slight 0.02% decrease on an annual basis.