Marshall Sprung, Co-Chief Of Asset Management Unit, To Leave SEC After 13...
The Securities and Exchange Commission today announced that Marshall S. Sprung, co-chief of the Division of Enforcement’s Asset Management Unit, is planning to leave the agency later this month.read...
View ArticleCFTCâs Market Risk Advisory Committee Announces Agenda For April 26...
The U.S. Commodity Futures Trading Commission (CFTC) today announced the agenda for the upcoming Market Risk Advisory Committee (MRAC) public meeting that will be held on April 26, 2016 at CFTC’s...
View ArticleBOX Options Exchange Price Improvement For March
In the month of March price improved contracts on BOX Options Exchange (“BOX”) averaged 340,567 per day. Price improvement versus the prevailing NBBO for contracts submitted via BOX’s price improvement...
View ArticleNasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks...
At the end of the settlement date of March 31, 2016, short interest in 2,301 Nasdaq Global MarketSM securities totaled 8,166,679,657 shares compared with 8,250,861,296 shares in 2,298 Global Market...
View ArticleNew York Attorney General Eric T. Schneiderman-Led State & Federal...
Attorney General Eric T. Schneiderman today joined members of the state and federal working group he co-chairs to announce a $5 billion settlement with Goldman Sachs over the bank’s deceptive practices...
View ArticleU.S. Justice Department: Goldman Sachs Agrees To Pay More Than $5 Billion In...
The Justice Department, along with federal and state partners, announced today a $5.06 billion settlement with Goldman Sachs related to Goldman’s conduct in the packaging, securitization, marketing,...
View ArticleCeleste Koeleveld Appointed General Counsel At New York State Department Of...
Celeste Koeleveld has been appointed General Counsel at the Department of Financial Services (DFS). Ms. Koeleveld will lead DFS’s Office of General Counsel and be responsible for all legal matters in...
View ArticleWeekly Announcements â April 11, 2016
University of Sussex Joins Innovation Research & Policy Network Research Centers Papers read more...
View ArticleDistribution-Constrained Optimal Stopping. (arXiv:1604.03042v1 [math.OC])
We solve the problem of optimal stopping of a Brownian motion subject to the constraint that the stopping time's distribution is a given measure consisting of finitely-many atoms. In particular, we...
View ArticleReconstruction of Order Flows using Aggregated Data. (arXiv:1604.02759v1...
In this work we investigate tick-by-tick data provided by the TRTH database for several stocks on three different exchanges (Paris - Euronext, London and Frankfurt - Deutsche B\"orse) and on a 5-year...
View ArticleNasdaq March 2016 Volumes, 1Q16 Est. Revenue Capture
Nasdaq (NASDAQ:NDAQ) today reported monthly volumes for March 2016, as well as quarterly volumes and estimated revenue capture for the quarter ending March 31, 2016, on its investor relations website....
View ArticleISDAâs 31st AGM To Highlight Impact Of Market Structure Changes
Leading regulators and industry participants will gather at the International Swaps and Derivatives Association’s (ISDA) 31st Annual General Meeting (AGM) in Tokyo this week to discuss the impact of...
View ArticleNew Zealand's Financial Markets Authority: Enforceable Undertaking From...
On 11 April 2016, Stephen Duff (also known as Nick Duff) offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011.read more...
View ArticleVolante Technologies And Turkish Banking And Payments Experts Payfessional...
Volante Technologies Inc., a global leader in the provision of software for the integration, processing and orchestration of financial messages and payments, today announced the signing of a...
View ArticleTokyo Stock Exchange To Begin Calculating And Publishing Currency Hedged...
The Tokyo Stock Exchange (TSE) has been calculating and publishing the TOPIX Total ReturnDaily Hedged Index(Euro, GBP, US Dollar). TSE will start calculating and publishing the same version of the...
View ArticleESMA Publishes Updated Data On CRAsâ Performance Over 1/7/15 - 31/12/15
The European Securities and Markets Authority (ESMA) has published its latest set of semi-annual statistical data on the performance of credit ratings, including transition matrices and default...
View ArticleOffice Of The Comptroller Of The Currency Releases Its Risk Appetite Statement
The Office of the Comptroller of the Currency today released its Risk Appetite Statement, which sets boundaries of acceptable levels of risk in key areas of agency operations.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 March 31, 2016.read more...
View ArticleCFTC Orders New York Resident Nathan Schleifer And Galileo Trading To Pay...
The U.S. Commodity Futures Trading Commission (CFTC) today settled charges againstNathan Schleifer of New York City, and his company, Galileo Trading, LLC (Galileo), for fraudulently soliciting...
View ArticleBroadSoft To Announce Q1 Fiscal Results On May 2, 2016
BroadSoft, Inc. (NASDAQ: BSFT) announced today that it will report financial results for the first quarter 2016 before market open on Monday, May 2, 2016. BroadSoft will hold a conference call on May...
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