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  • SIFMA Statement On Passage Of National Cybersecurity And Communications Integration Center Act Of 2014 by Senate Committee

    Date 25/06/2014

    SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO on the passage of the National Cybersecurity and Communications Integration Center Act of 2014 by the Senate Committee on Homeland Security and Governmental Affairs:
     
    "SIFMA and its members applaud Chairman Carper and Ranking Member Coburn for their leadership in pushing forward important legislation which could lead to enhanced cybersecurity. The National Cybersecurity and Communications Integration Center (NCCIC), along with the Financial Services - Information Sharing and Analysis Center (FS-ISAC), is an integral part of the financial services sector's information sharing processes.  We applaud the legislation's codification of the NCCIC and its recognition of the capabilities that the NCCIC provides to the financial services sector as well as the critical infrastructure sectors that we rely on to operate."

  • Barclays PLC: Complaint Filed By New York State Attorney General

    Date 25/06/2014

    Barclays notes the Complaint filed by the New York State Attorney General this afternoon in the New York State Courts. The Complaint relates to the Attorney General’s investigation of LX Liquidity Cross, which is Barclays’ SEC-registered Alternative Trading System and which provides alternative liquidity  to market participants. The Complaint makes a number of allegations, including fraud and deceptive practices. Amongst  other  relief, the  Complaint  seeks unspecified monetary damages and injunctive relief.

  • Cross-Border Security-Based Swap Rules And Guidance, SEC Commissioner Kara M. Stein, Washington, D.C., June 25, 2014

    Date 25/06/2014

    I want to begin by thanking Brian Bussey, Richard Gabbert, Joshua Kans, and Margaret Rubin from Trading and Markets;  Brooks Shirey and Lori Price from the General Counsel’s office; and Liban Jama from the Chair’s staff for all of their hard work on this rule.    

  • New York Attorney General Eric Schneiderman Announces Fraud Charges Against Barclays In Connection With Marketing And Operation Of Its Dark Pool - Investigation Into Barclays’ Dark Pool And Electronic Trading Business Uncovered An Alleged Pattern Of Fraud And Deceit, Misrepresentations To Investors

    Date 25/06/2014

    Attorney General Eric Schneiderman today announced a lawsuit against the international bank Barclays, arising from the operation of Barclays’ dark pool and other aspects of its electronic trading division. The complaint alleges Barclays has dramatically increased the market share of its dark pool through a series of false statements to clients and investors about how, and for whose benefit, Barclays operates its dark pool. Contrary to Barclays’ representations that it has implemented special safeguards to protect clients from “aggressive” or predatory high-frequency traders, Barclays is accused of operating its dark pool to favor high-frequency traders.

  • SEC Announces Fraud Charges Against Three Former Regions Bank Executives In Accounting Scheme

    Date 25/06/2014

    The Securities and Exchange Commission today announced fraud charges against three former senior managers of Regions Bank for intentionally misclassifying loans that should have been recorded as impaired for accounting purposes.  As a result, the bank’s publicly-traded holding company overstated its income and earnings per share in its financial reporting.

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