FTSE Mondo Visione Exchanges Index:
News Centre
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Date 25/03/2015
Statement At Open Meeting On Adoption of Regulation A Amendments, SEC Commissioner Michael S. Piwowar, March 25, 2015
Thank you, Chair White. I am pleased that we are adopting amendments to Regulation A to implement Title IV of the Jumpstart Our Business Startups Act, or JOBS Act. Title IV was enacted to facilitate capital formation by small and emerging businesses. Today’s amendments were rooted in a bipartisan bill, championed by Senator Pat Toomey of Pennsylvania and Senator Jon Tester of Montana. So it is quite appropriate — nearly three years after the President signed the JOBS Act into law on April 5, 2012 — for the bipartisan Commission to finally adopt the implementing regulations.
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Date 25/03/2015
CFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.
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Date 25/03/2015
FINRA Sanctions First New York Securities L.L.C. $916,000 For Illegal Short Selling In Advance Of 14 Public Offerings - Firm Fined $400,000 And Ordered To Pay More Than $500,000 In Disgorgement; Prohibited From Participating In Secondary Offerings For Six Months
The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned First New York Securities L.L.C. $916,000 for short selling ahead of participating in 14 public offerings of securities, in violation of Rule 105 of Regulation M, and for related supervisory violations. FINRA ordered First New York to pay disgorgement of more than $516,000, plus interest, and fined the firm $400,000. Additionally, the firm is prohibited from participating in secondary or follow-on offerings for a period of six months.
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Date 25/03/2015
SEC Proposes Rule To Require Broker-Dealers Active In Off-Exchange Market To Become Members Of National Securities Association - Amendments Would Enhance Regulatory Oversight Of Active Proprietary Trading Firms
The Securities and Exchange Commission today proposed rule amendments to require that broker-dealers trading in off-exchange venues become members of a national securities association. The amendments would enhance regulatory oversight of active proprietary trading firms, such as high frequency traders.
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Date 25/03/2015
FTSE Selected To Provide Index For New Mexico State Investment Council’s Smart Beta US Equities Allocation
- Innovative new FTSE RAFI Low Volatility Index to be utilized
- Decision adds smart beta indexing to NMSIC passive and active strategies
- Continues trend of corporate and public funds using smart beta
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Date 25/03/2015
GCC Citizens Will Be Treated As Qatari Citizens In Terms Of Owning Shares Of Companies Listed On The Qatar Stock Exchange
Qatar Central Securities Depository (QCSD) announced that it has amendedthe ownership limits on its systems, so that the GCC citizens will be treatedas Qatari citizens in terms of owning shares of the companies listed on Qatar Stock Exchange. The change will be valid as of Thursday, March 26th 2015.
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Date 25/03/2015
SEC Adopts Rules To Facilitate Smaller Companies’ Access To Capital - New Rules Provide Investors With More Investment Choices
The Securities and Exchange Commission today adopted final rules to facilitate smaller companies’ access to capital. The new rules provide investors with more investment choices.
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Date 25/03/2015
Testimony Of US Treasury Secretary Jacob J. Lew On The Financial Stability Oversight Council’s (FSOC) Nonbank Financial Company Designations Process Before The Senate Banking Committee
Chairman Shelby, Ranking Member Brown, and members of the Committee, thank you for inviting me here today to discuss the Financial Stability Oversight Council’s nonbank financial company designations process.
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Date 25/03/2015
Statement At Open Meeting On Rule 15b9-1, SEC Commissioner Daniel M. Gallagher, March 25, 2015
Today the Commission is proposing to amend SEC Rule 15b9-1. I would like to join my colleagues in thanking the staff in the Division of Trading and Markets, DERA and Office of the General Counsel for their efforts on this rulemaking. In particular, I would like to thank David Michehl, Nicholas Shwayri, and Charles Sommers.
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Date 25/03/2015
CFTC Revokes Registrations Of John G. Wilkins And His Company, Altamont Global Partners LLC, Based On Federal Court’s Permanent Injunction Order And On Wilkins’s Related Criminal Conviction
The U.S. Commodity Futures Trading Commission (CFTC) today announced the revocation of the registrations of Altamont Global Partners LLC(AGP) of Longwood, Florida and its owner, John G. Wilkins, formerly of Chuluota, Florida. AGP was registered with the CFTC as a Commodity Pool Operator, and Wilkins was registered as an Associated Person of AGP.
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