FTSE Mondo Visione Exchanges Index:

News Centre

FINRA Charges Broker With Fraud And Unlawful Distribution Of Unregistered Cryptocurrency Securities - First Disciplinary Action By FINRA Involving Cryptocurrencies

Date 11/09/2018

FINRA announced today that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities fraud and the unlawful distribution of an unregistered cryptocurrency security called HempCoin. This case represents FINRA’s first disciplinary action involving cryptocurrencies.
Elad Roisman Sworn In As SEC Commissioner

Date 11/09/2018

Elad L. Roisman has been sworn into office as an SEC Commissioner by SEC Chairman Jay Clayton.
SIFMA Supports Repo Market Data Collection Proposal - Notes Enhancement For SOFR

Date 11/09/2018

In a comment letter filed with the Office of Financial Research, SIFMA expresses its broad support for the OFR’s proposed data collection covering centrally cleared transactions in the U.S. repurchase, or repo market. Further, SIFMA believes the collection of this data would contribute to the strength of the Secured Overnight Financing Rate (SOFR) published by the Federal Reserve Bank of New York as an alternative reference rate, while also enhancing the information available to supervisors and the official sector on the repo market.
CME Group Announces Special Meeting Of Shareholders

Date 11/09/2018

CME Group Inc. (NASDAQ: CME), the world's leading and most diverse derivatives marketplace, today filed its definitive proxy statement for a special meeting of shareholders to be held at 10:00 a.m. Central Time on Wednesday, November 5, 2018, at CME Group headquarters, located at 20 South Wacker Drive, Chicago, Illinois.
SEC Charges ICO Superstore And Owners With Operating As Unregistered Broker-Dealers

Date 11/09/2018

The Securities and Exchange Commission today announced that TokenLot LLC, a self-described “ICO Superstore,” and its owners will settle charges that they acted as unregistered broker-dealers. This is the SEC’s first case charging unregistered broker-dealers for selling digital tokens after the SEC issued The DAO Report in 2017 cautioning that those who offer and sell digital securities must comply with the federal securities laws.

CFTC Commissioner Behnam To Provide Remarks At The Michigan Agri-Business Association’s 2018 Outlook Conference

Date 11/09/2018

WHAT:

Commissioner Rostin Behnam will provide remarks at the Michigan Agri-Business Association’s 2018 Outlook Conference

WHEN:

Saturday, September 15, 2018
9:00 a.m. (EDT)

WHERE:

Grand Hotel

286 Grand Ave
Mackinac Island, MI 49757

SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations And Registration Failures

Date 11/09/2018

The Securities and Exchange Commission today announced its first-ever enforcement action finding an investment company registration violation by a hedge fund manager based on its investments in digital assets.
ESAs See Return Of Volatility In New Risk Report

Date 11/09/2018

The European Union's (EU) securities, banking and insurance sectors continue to face a range of risks, the latest report on risks and vulnerabilities in the EU financial system by the Joint Committee of the European Supervisory Authorities (ESAs) shows.

FIA: August SEF Tracker Now Available Online

Date 11/09/2018

Total trading volume on SEFs averaged $629.4 billion in notional value per day during August 2018. That was up 10.2% percent from the previous month and up 38.7% from August 2017. The month-over-month increase in trading volume was driven mainly by a rise in on-SEF trading of interest rate swaps, which was up 9.4% from July 2018 and up 39.1% from August 2017. Trading of FX products in August 2018 continued at a high level; FX trading in August reached a new record of $66 billion in average daily notional value, the fifth time this year that average daily FX volume set a record.

SEC Obtains Relief To Fully Reimburse Retail Investors Sold Unsuitable Product

Date 11/09/2018

The Securities and Exchange Commission today announced it has obtained monetary relief that will fully reimburse retail investors for losses on a leveraged oil-linked exchange-traded note (ETN) that registered representatives of Syracuse, New York-based broker-dealer and investment adviser Cadaret, Grant & Co. Inc. recommended without a reasonable basis.