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Date 22/08/2013
NASDAQ Closing Cross Completed As Normal - Extended Trading Session Has Begun
The NASDAQ Closing Cross has completed as normal and the extended trading session has begun.
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Date 22/08/2013
NASDAQ OMX PHLX, NOM And BX Options System Update: All Systems Are Operating Normally
NASDAQ OMX PHLX, NOM and BX Options System Update: Trading has resumed on PHLX, NOM and BX Options. All systems are operating normally.
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Date 22/08/2013
CFTC Files Action To Revoke Registration Of Commodity Trading Advisor Prestige Capital Advisors, LLC
The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the registration of Prestige Capital Advisors, LLC (Prestige) of Charlotte, North Carolina, as a Commodity Trading Advisor (CTA).
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Date 22/08/2013
SEC Stops California Company With Misleading Registration Statement From Issuing Public Stock
The Securities and Exchange Commission today issued an order to stop an initial public offering (IPO) of a Los Angeles area company before its shares were sold to the public. In issuing its stop order against Counseling International, the Commission determined that the company’s registration statement contains false and misleading information.
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Date 22/08/2013
Federal Court Enters $2.2 Million Default Judgment Order Against Florida-Based Global Precious Metals Trading Company And Its Owner, Michael Ghaemi, For Operating A Fraudulent Off-Exchange Precious Metals Scheme - Defendants Misappropriated Over $800,000 Of Customer Funds, Virtually All Of The Customer Funds Solicited And Accepted To Purchase Precious Metals
The U.S. Commodity Futures Trading Commission today announced that it obtained a federal court default judgment Order against Global Precious Metals Trading Company, LLC (GPMT) of Coral Gables, Florida, and its principal Michael Ghaemi of Miami, Florida, charged with running a fraudulent precious metals scheme and misappropriating customers’ funds (see CFTC Press Release 6587-13, May 13, 2013).
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Date 22/08/2013
Nasdaq Halts Trading In Stocks And Options
Trading in thousands of stocks and options traded on Nasdaq was halted shortly after midday today.
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Date 22/08/2013
S&P Dow Jones Indices Adds Two All Metals Sector Indices To The S&P GSCI Family
S&P Dow Jones Indices announced today the launch of the S&PGSCI® All Metals 3 Month Forward and S&P GSCI All Metals 3 Month Forward Capped Component. These Indices are designed to measure the precious and industrial meta l commodity markets while seeking to reduce negative roll yield in times of contango.
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Date 22/08/2013
Christopher Fix, Chief Executive, Dubai Mercantile Exchange Shares Key Developments With Stakeholders At CME Offices
Christopher Fix, Chief Executive, Dubai Mercantile Exchange shares key developments with stakeholders at CME offices
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Date 22/08/2013
ICE Link And Cetip Launch Post-Trade Solution For The Brazilian Bond Market - Brings Efficiency, Standardization And Operational Risk Mitigation
IntercontinentalExchange (NYSE: ICE), a leading operator of global markets and clearing houses, today announced that its post-trade workflow tool for the global credit default swap (CDS) market, ICE Link, is now available on Cetip's bond trading platform, Cetip|Trader. ICE Link provides operational efficiency to the post-trade workflow, making these activities faster, safer and more standardized.
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Date 22/08/2013
FINRA Fines Morgan Stanley $1 Million And Orders Restitution Of $188,000 For Best Execution And Fair Pricing Violations In Customer Bond Transactions
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC $1 million and ordered $188,000 in restitution plus interest for failing to provide best execution in certain customer transactions involving corporate and agency bonds, and failing to provide a fair and reasonable price in certain customer transactions involving municipal bonds. The requirement to pay restitution is in addition to restitution that Morgan Stanley paid previously to customers for transactions covered by this settlement.
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