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SEC Names Jennifer Marietta-Westberg As Deputy Director Of The Division Of Risk, Strategy, And Financial Innovation
Date 11/04/2013
The Securities and Exchange Commission today announced that Jennifer Marietta-Westberg has been named Deputy Director of its Division of Risk, Strategy, and Financial Innovation (RSFI).
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CFTC Chairman Gary Gensler And Commissioner Scott O’Malia To Testify Before The U.S. House Of Representatives Committee On Appropriations, Subcommittee On Agriculture, Rural Development, Food And Drug Administration, And Related Agencies
Date 11/04/2013
What:
CFTC Chairman Gary Gensler and Commissioner Scott O’Malia to Testify Before the U.S. House of Representatives Committee on Appropriations, Subcommittee on Agriculture, Rural Development, Food and Drug Administration, and Related Agencies
When:
April 12, 2013, 10:00 AM
Where:
2362-A Rayburn Building
Washington, DC
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SEC Charges Former KPMG Partner And Friend With Insider Trading
Date 11/04/2013
The Securities and Exchange Commission today charged the former partner in charge of KPMG's Pacific Southwest audit practice and his friend with insider trading on nonpublic information about firm clients.
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World Economic and Financial Surveys – IMF Global Financial Stability Report, Old Risks, New Challenges, April 2013
Date 11/04/2013
Contents
Chapter 2. A New Look at the Role of Sovereign Credit Default Swaps
Examines whether sovereign credit default swaps (SCDS) are good market indicators of sovereign credit risk, and finds that many of the negative perceptions surrounding their impact on financial stability are unfounded: SCDS markets do not appear to be more prone to high volatility than other financial markets. The results of the analysis do not support the need for a ban on “naked” SCDS protection buying, which went into effect in the European Union in November 2012.
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Remarks At The 2013 National Compliance Outreach Program For Broker-Dealers By SEC Commissioner Daniel M. Gallagher
Date 11/04/2013
Thank you, Carlo [di Florio], for the kind introduction. As most of you know, Carlo has done an amazing job as the head of OCIE for the last several years. He came to public service at a tough time for the SEC, and his contributions to the agency have been outstanding. Carlo doesn’t allow sacred cows — he evaluates every situation methodically and coolly, and then endeavors to find the right answer, not necessarily the convenient one. Carlo has become a good friend and valued colleague to me over the years, and you will be hard pressed to find another public servant who works as hard as him yet can do it with a sincere smile.
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FINRA Files Temporary Cease-And-Desist Order Against Success Trade Securities And CEO Fuad Ahmed To Halt Fraud - FINRA Also Issues Complaint Charging Success Trade Securities And Ahmed With Fraudulent Sales Of Promissory Notes - Many Current & Former NFL & NBA Players Among 58 Investors
Date 11/04/2013
The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a Temporary Cease-and-Desist Order (TCDO) to halt further fraudulent activities by Washington, D.C.-based Success Trade Securities, Inc. and its CEO & President, Fuad Ahmed, as well as the misuse of investors' funds and assets. FINRA also issued a complaint against Success Trade Securities and Ahmed charging fraud in the sales of promissory notes issued by the firm's parent company, Success Trade, Inc., in which Ahmed holds a majority ownership interest. FINRA filed the TCDO, to which Ahmed and the company agreed, thus immediately freezing their activities, based on the belief that ongoing customer harm and depletion of investor assets are likely to continue before a formal disciplinary proceeding against Success Trade Securities and Ahmed will be completed.
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Japan & US: Global Equity Markets YTD Performance Showed Japan & US Leadership As Reflected By Russell Indexes
Date 11/04/2013
Global equity market performance year-to-date as of April 9th showed Japan and the U.S. leading other global markets as reflected by the Russell Indexes. The Russell Japan Index returned 14.5% year-to-date, followed by the Russell 1000® Index of large-cap U.S. stocks which returned 11.9% year-to-date. Asia ex-Japan, emerging markets and European markets all trailed the U.S. & Japan, as reflected by the year-to-date performance of the Russell Asia ex-Japan Index (-1.1%), Russell Emerging Markets Index (-1.3%) and the Russell Eurozone Index (1.0%) year-to-date as of April 9th.
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Program Trading Averaged 26.9 Percent Of NYSE Volume During April 1-5
Date 11/04/2013
The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms' executed volume from NYSE's orders database. The report includes trading on the NYSE for Apr. 1-5.
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ISE Introduces ISE Gemini, Its New Options Exchange - ISE Gemini Targets Launch In Q2 2013
Date 11/04/2013
International Securities Exchange Holdings, Inc. (ISE) today announced ISE GeminiTM as the brand name of its new options exchange. The SEC published ISE’s Form 1 application for a second exchange license on March 7, 2013, and ISE Gemini is targeted for launch in Q2 2013, pending SEC approval.
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Authorities’ Access To Trade Repository Data – Consultative Report Issued By CPSS-IOSCO
Date 11/04/2013
The Committee on Payment and Settlement Systems (CPSS) and the International Organization of Securities Commissions (IOSCO) have today published for public comment a consultative report entitled Authorities’ access to trade repository data.
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