Statement of Chairman Timothy Massad on Expanded Interest Rate Swap Clearing...
Statement of Chairman Timothy Massad on Expanded Interest Rate Swap Clearing Requirement Determination and Final Rulemaking
View ArticleBats Welcomes 13th ProShares Fund To The Bats ETF Marketplace - 19 Issuers,...
Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed its 13th ProShares product to the Bats ETF Marketplace.read more...
View ArticleCFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.read more...
View ArticleCFTC Charges Options Trader Thomas C. Lindstrom with Fraud
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint, charging Thomas C. Lindstrom, of Winnetka, Illinois, with fraud in connection with his trading of options on...
View ArticleCadillac Fairview And TMX Group Announce Lease Agreement In...
Cadillac Fairview and TMX Group are proud to announce today the signing of a long-term lease agreement to relocate the Montréal Exchange (MX) to Deloitte Tower in 2018. MX and the Montréal offices of...
View ArticleCanadian Securities Regulators Provide Update On Consideration Of Concerns...
The Canadian Securities Administrators (CSA) today published CSA Staff Notice 45-308 (Revised) – Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106...
View ArticleSEC: Och-Ziff Hedge Fund Settles FCPA Charges - Och-Ziff Executives Also...
The Securities and Exchange Commission today announced that Och-Ziff Capital Management Group has agreed to pay nearly $200 million to the SEC to settle civil charges of violating the Foreign Corrupt...
View ArticleSwedroe: âIncredible Shrinking Alphaâ Continues | ETF.com
Swedroe: âIncredible Shrinking Alphaâ Continues | ETF.com: "Highlighting the problem of survivorship bias, over the five-year period, nearly 21% of domestic equity funds, 21% of...
View ArticleCanadian Securities Regulators Issue Guidance On Derivatives Reporting...
Staff of the securities regulators in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon...
View ArticleSEC Announces Agenda For October 5 Meeting Of The Advisory Committee On Small...
Use the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov.read more...
View ArticleAMF Officials To Head Major IOSCO Committee
The Autorité des marchés financiers (the “AMF”) is pleased to announce that Jean-François Fortin, Executive Director, Enforcement, and Jean Lorrain, Senior Director, International Relations and...
View ArticleCFTC Orders Jon P. Ruggles To Disgorge More Than $3.5 Million In Trading...
The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order filing and settling charges against Jon P. Ruggles of Orlando, Florida, for engaging in fraudulent, fictitious, and...
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Federal Reserve Chair Janet L. Yellen At The "Banking And The Economy: A...
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View ArticleCFTC Charges Options Trader Thomas C. Lindstrom With Fraud - CFTC Alleges...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint, charging Thomas C. Lindstrom, of Winnetka, Illinois, with fraud in connection with his trading of options on...
View ArticleCFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 Million in...
The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Respondent Aden Rusfeldt (a/k/a âBig Aâ) of Vail, Arizona.
View ArticleUS Justice Department: Och-Ziff Capital Management Admits To Role In Africa...
A New York-based alternative investment and hedge fund manager, Och-Ziff Capital Management Group LLC (Och-Ziff), and its wholly-owned subsidiary, OZ Africa Management GP LLC (OZ Africa), entered into...
View ArticleOffice Of The Comptroller Of The Currency Assesses Penalty Against Wells...
The Office of the Comptroller of the Currency (OCC) today assessed a $20 million civil money penalty against Wells Fargo Bank, N.A., and ordered the bank to make restitution to servicemembers who were...
View ArticleSEC: Casino-Gaming Company Retaliated Against Whistleblowe
The Securities and Exchange Commission today announced that casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with...
View ArticleSEC: Biotech Employee Charged With Insider Trading Ahead Of Companyâs...
The Securities and Exchange Commission today charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead of the company’s news announcements about its...
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