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  • SEC Charges Penny Stock Company Executives In New Jersey With Issuing False Press Releases To Inflate Stock Price

    Date 21/11/2014

    The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and misleading press releases while secretly selling thousands of their own stock shares into the market.  They agreed to pay nearly $325,000 and accept officer-and-director bars to settle the SEC’s charges.

  • CFTC Reinstates NASDAQ Futures, Inc. As A Designated Contract Market

    Date 21/11/2014

    The Commodity Futures Trading Commission (CFTC) today approved the application of NASDAQ Futures, Inc. (NQF) for reinstatement as a designated contract market (DCM). NQF is a Delaware corporation and is a wholly-owned subsidiary of NASDAQ OMX Group, Inc.  NQF was previously registered as a DCM, but became dormant on January 1, 2014.  Effective November 21, 2014, NQF’s contract market designation has been reinstated pursuant to Sections 5 and 6(a) of the Commodity Exchange Act and Part 38 of the CFTC’s regulations.

  • Credit Suisse Sentenced For Conspiracy To Help U.S. Taxpayers Hide Offshore Accounts From Internal Revenue Service - Pays $1.8 Billion To Department Of Justice And The Internal Revenue Service In A Fine And Restitution

    Date 21/11/2014

    Credit Suisse AG was sentenced today for conspiracy to aid and assist U.S. taxpayers in filing false income tax returns and other documents with the Internal Revenue Service (IRS).  Credit Suisse pleaded guilty to conspiracy on May 19.  The sentencing of the Swiss corporation is the result of a years-long investigation by U.S. law enforcement authorities that has also produced indictments of seven Credit Suisse employees and the owner of a trust company since 2011—two of those individuals have pleaded guilty so far—and of U.S. clients of Credit Suisse.  The announcement was made by Deputy Attorney General James M. Cole, Acting Deputy Assistant Attorney General Larry J. Wszalek for the Justice Department's Tax Division, U.S. Attorney Dana J. Boente for the Eastern District of Virginia and IRS Commissioner John Koskinen.

  • BATS 1000 Index Up 1.3 Percent This Week

    Date 21/11/2014

    BATS Global Markets (BATS), a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) rose 301.62 points to close at 23,064.33 or 1.3 percent over last Friday’s close.

  • Remarks To The American Bar Association's Business Law Section Fall Meeting, Andrew Ceresney, Director, SEC Division Of Enforcement, Washington D.C., Nov. 21, 2014

    Date 21/11/2014

    Before I begin, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.

    I am pleased to be here this morning to talk about the latest developments in the SEC’s Enforcement Division. The SEC recently completed its fiscal year, which was my first full fiscal year as Enforcement Director and Chair White’s first as Chair. As a result, I wanted to spend a little time today highlighting some of our successes over the past year, look briefly at what to expect in the coming year, and then talk about some areas that have been the focus of much discussion in recent months — administrative proceedings, admissions, and our increased use of big data.

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