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Date 07/09/2017
SEC: Adviser Charged With Stealing Investor Funds
The Securities and Exchange Commission today charged a New Jersey-based tax preparer and investment adviser with stealing more than $1 million from clients to support his gambling habit and other personal expenditures.
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Date 07/09/2017
Statement By U.S. Treasury Secretary Mnuchin On President Trump’s Tax Reform Speech
U.S. Treasury Secretary Steven T. Mnuchin issued the following statement today after President Trump's speech on tax reform in Mandan, North Dakota:
"President Trump made a forceful case for comprehensive tax reform to level the playing field for American job creators and spur economic growth that will yield millions of new jobs. Middle-income families in North Dakota and across the country deserve a tax cut, and the President is committed to simplifying the tax code to put more money in their pockets. During today's visit, the President put a personal face on the harmful impact the "death tax" has on farmers and ranchers in North Dakota. I look forward to working with Congress to provide relief from this and other onerous taxes, jumpstart our economy, increase wages, and create more opportunity for Americans."
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Date 07/09/2017
SEC Announces Agenda For September 13 Meeting Of The Advisory Committee On Small And Emerging Companies
The Securities and Exchange Commission today announced the agenda for the next meeting of its Advisory Committee on Small and Emerging Companies. The committee will discuss the Sarbanes-Oxley Act auditor attestation requirement and explore whether updates are needed to Securities Act Rule 701, which many companies use to provide stock and option awards. The committee also will vote on a final report that would be issued before the committee’s charter expires on September 24.
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Date 06/09/2017
CFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.
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Date 06/09/2017
US Federal And State Banking Agencies Issue Statement On Supervisory Practices Regarding Financial Institutions And Borrowers Affected By Hurricane Irma
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and state bank regulators recognize the serious impact of Hurricane Irma on the customers and operations of many financial institutions and will provide regulatory assistance to affected institutions subject to their supervision. The agencies encourage institutions in the affected areas to meet the financial services needs of their communities.
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Date 06/09/2017
Ontario Securities Commission Announces Roundtable To Discuss Third Annual Review Of Women On Boards and in Executive Officer Positions
The Ontario Securities Commission (OSC) today announced that it will hold a roundtable to discuss the findings of its third annual review of disclosures made under National Instrument 58-101 Disclosure of Corporate Governance Practices relating to women on boards and in executive officer positions, which will be published in the coming weeks.
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Date 06/09/2017
TMX Group Consolidated Trading Statistics – August 2017
TMX Group Limited today announced August 2017 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), Montréal Exchange (MX) and NGX.
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Date 06/09/2017
Bats Welcomes New Issuer Main Management To The Bats ETF Marketplace - 38 Issuers, 222 Funds Now Listed On Bats In The U.S
Bats, a CBOE Holdings, Inc. company, and a leading market for exchange-traded product (ETP) trading globally, today welcomed new issuer Main Management to the Bats ETF Marketplace, with the launch of one fund.
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Date 06/09/2017
Finansinspektionen: Comments On Nordea's Decision To Move Its Head Office
Nordea passed a decision today to move its head office to Helsinki. The bank represents a large part of the Swedish financial market, but it is too early to say how the decision will impact Finansinspektionen’s supervision.
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Date 06/09/2017
London Stock Exchange Group Plc Transaction In Own Shares
London Stock Exchange Group plc (the "Company") announces that it has purchased through RBC Europe Limited, in accordance with the authority granted by shareholders at the Company's Annual General Meeting on 26 April 2017, the following number of its ordinary shares of 6 79/86 pence each ("Shares") on the London Stock Exchange as part of the buyback programme announced on 29 March 2017:
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