MIAX Options Exchange: Rule Change Notice - FINRA Arbitration Rules 12400 And...
FINRA has filed to amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes relating to broadening...
View ArticleTEXPERS Amplifies Attorney General’s Opinion on Pension Funds in Statute
The Texas Association of Public Employee Retirement Systems today applauded the state Attorney General’s opinion in the matter of who is liable when a local retirement system is unable to meet...
View ArticleSEC: Company Failed To Disclose Credit Risk In Investments
The Securities and Exchange Commission today announced that a Portuguese-based telecommunications company has agreed to pay a $1.25 million penalty for its failure to properly disclose the nature and...
View ArticleFinansinspektionen: Resurs Bank Receives A Remark And An Administrative Fine
Finansinspektionen is issuing Resurs Bank AB a remark. The bank must also pay an administrative fine of SEK 35 million.read more...
View ArticleIndustry Veteran Peter Moss Named CEO Of The SmartStream Reference Data Utility
Peter joins the first industry-formed data management service, established by Goldman Sachs, JPMorgan Chase, Morgan Stanley and SmartStream, after a twenty-five year career with Thomson Reuters. During...
View Article2016 CBOE Risk Management Conference Asia - CBOE To Host CBOE RMC Asia...
Chicago Board Options Exchange® (CBOE®) will be hosting the second annual CBOE Risk Management Conference (RMC) Asia, from November 30 through December 1, 2016, at the Conrad Hong Kong.read more...
View ArticleNYSE, NYSE ARCA And NYSE MKT Short Interest Reports
NYSE today reported short interest as of the close of business on the settlement date of August 31, 2016.read more...
View ArticleEEX Supports Social Facilities In Leipzig With 3rd Annual “Social...
At the European Energy Exchange (EEX), social commitment is a matter of course. In recognition of this commitment, EEX carried out its third “Social Day” on 8 September 2016. 130 colleagues from across...
View ArticleBats Reports Strong Market Share Across All Markets In August - Remains #1...
Bats Global Markets, Inc. (Bats: BATS), a leading global exchange operator and provider of market data and other financial markets services, today reported August data and highlights, including strong...
View ArticleSIX Structured Products Exchange And Swiss Structured Products Association:...
For the 7th time, SIX Structured Products Exchange and the Swiss Structured Products Association sent out invitations to the industry forum held on 7/8 September 2016.read more...
View ArticleBritish Columbia Securities Commission Releases New Videos Highlighting...
The British Columbia Securities Commission (BCSC) has released five new videos to raise awareness about changes to how advisors must report to investors on the costs and performance of their...
View ArticleNew York State Governor Cuomo Announces Proposal Of First-In-The-Nation...
Governor Andrew M. Cuomo today announced that a new first-in-the-nation regulation has been proposed to protect New York State from the ever-growing threat of cyber-attacks. The regulation requires...
View ArticleIIROC Members Approve Board of Directors - Board Re-Elects Chair M. Marianne...
At the Annual General Meeting (AGM) of the Investment Industry Regulatory Organization of Canada (IIROC) held on September 12, 2016, member firms elected and re-elected nine individuals to serve on the...
View ArticleSEC: “Stock Trading Whiz Kid” To Pay $1.5 Million To Settle Stock...
The Securities and Exchange Commission today announced that a self-proclaimed “stock trading whiz kid” and his stock newsletter company in Los Angeles have agreed to pay nearly $1.5 million to settle...
View ArticleCME Group Inc. Announces Third-Quarter 2016 Earnings Release, Conference Call
CME Group Inc. will announce earnings for the third quarter of 2016 before the markets open on Thursday, October 27, 2016. The company has scheduled an investor conference call that day at 7:30 a.m....
View ArticleReuters Partners With Wibbitz To Create Videos Using Automation Technology
Today Reuters, the world’s largest international multimedia news provider, announced a partnership with Wibbitz to create news videos for Reuters News Agency customers using automation technology. For...
View ArticleTheam Aims To Triple Assets Under Management In ETFs By 2020
THEAM, BNP Paribas Investment Partners’ specialist in capital-protected, indexed and model-driven management, has unveiled a new strategic plan for its indexed fund activities, confirming its intention...
View ArticleThai Bourse First Launches Mutual Fund Roadshow In Japan
The Stock Exchange of Thailand (SET), The Securities and Exchange Commission (SEC) and Association of Investment Management Companies (AIMC) will organize the first “Thailand-Japan Fund Roadshow”, at...
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Bank Of England: The Monetary Policy Committee Holds Bank Rate At 0.25%,...
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