January 2020
Report Looks At House Financial Services Priorities
The House Financial Services Committee released a report on its 2019 accomplishments showing numerous priorities with a de-emphasis on the investment world.
SET Market Report for 2019
SET Index ended 2019 at 1,579.84 points, up 1 percent from the previous year. SET and Market for Alternative Investment (mai) in 2019 fell 7 percent.
Relief Rally Underpins Market Bulls as Market Heads to Week’s Close
Trade deal optimism and easing Middle Eastern woes underpins market bulls as traders await US payroll data for short term profit opportunities.
SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities.
Longfin CEO Settles Fraud Action
SEC today announced that Longfin Corp. CEO Venkata S. Meenavalli has agreed to pay $400,000 in disgorgement and penalties to resolve the SEC’s fraud action.
Risky Assets on Demand, Ahead of NFP
Asian indices edged higher as markets remain calm after President Trump's comments that the U.S. will not take any military action against Iran.
FINRA’s New Examinations Unit Discussed
On the latest episode of FINRA’s Unscripted podcast, the three guests were all part of the Examination and Risk Monitoring unit.
SEC Proposes Improvements to Governance of Market Data Plans
SEC is seeking public comment on a proposed order to modernize the governance of NMS plans that produce public consolidated equity market data.
Asian Stocks Rebound, Crude Oil Slumps as Iran-USA Tensions Ease
Asian Stocks Rebound higher after markets calmed from President Trump's comments that the U.S. will not take any military action against Iran.
Intercontinental Exchange Reports December, Fourth Quarter and Full Year 2019 Statistics
Intercontinental Exchange (ICE) today reported December, fourth quarter and full year 2019 trading volume and related revenue statistics.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.