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CFTC’s Division Of Market Oversight Issues Time-Limited No-Action Relief For Temporarily Registered Swap Execution Facilities From Certain Swap Data Reporting Requirements Of Parts 43 And 45 Of The Commission’s Regulations

Date 28/09/2013

The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) issued a letter providing temporarily registered swap execution facilities (SEFs) with relief from certain swap data reporting requirements of Parts 43 and 45 of the Commission’s Regulations with respect to certain swaps in the equity, foreign exchange (FX) and other commodity asset classes executed on, or pursuant to, the rules of a SEF, and subject to conditions specified in the letter. The relief expires no later than 12:01 a.m. eastern time on October 30, 2013 for swaps executed in the FX asset class, and 12:01 a.m. eastern time on December 2, 2013 for swaps executed in the equity and other commodity asset classes.
CFTC Issues Notices Of Temporary Registration As A Swap Execution Facility To Thomson Reuters (SEF) LLC And ICAP SEF (US) LLC

Date 28/09/2013

The U.S. Commodity Futures Trading Commission (CFTC or Commission) has approved the applications of Thomson Reuters (SEF) LLC (TR SEF) and ICAP SEF (US) LLC (ICAP SEF) for temporary registration as a swap execution facility (SEF). TR SEF is a Delaware limited liability company and is an indirect, wholly-owned subsidiary of Thomson Reuters Corporation, an Ontario, Canada corporation. ICAP SEF is a Delaware limited liability company and is an indirect, wholly-owned subsidiary of ICAP plc, a United Kingdom public limited company.
CFTC Designates Nodal Exchange, LLC As A Contract Market And CFTC’s Division Of Market Oversight And Division Of Clearing And Risk Issue Related Time Limited No-Action Letters

Date 28/09/2013

The Commodity Futures Trading Commission (CFTC) on Friday, September 27, 2013, approved the application of Nodal Exchange, LLC (Nodal), previously operating as an exempt commercial market (ECM), for designation as a contract market (DCM), effective September 30, 2013. Nodal is organized as a Delaware limited liability company and is a wholly owned subsidiary of Nodal Exchange Holdings, LLC.
CFTC Shutdown Plan, September 27, 2013,

Date 27/09/2013

Pursuant to Section 124, Agency Operations in the Absence of Appropriations, OMBCircular A-11 (2013), the Commodity Futures Trading Commission (CFTC) is submitting its plan for an orderly shutdown in the event of a lapse of appropriations.
BATS 1000 Index Down 0.9% This Week

Date 27/09/2013

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) retreated 169.45 points, or 0.9%, this week to close at 19,123.46 as of the 4 p.m. ET market close today.

CFTC Charges Ethanol Trader John Aaron Brooks With Fraud For Scheming To Conceal Trading Losses

Date 27/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today filed a civil injunctive enforcement action charging John Aaron Brooks with defrauding an affiliate of a large commercial bank where he then worked by scheming to conceal trading losses from the bank and its affiliate. As alleged in the CFTC’s Complaint, Brooks effectuated his scheme by inflating the value of New York Mercantile Exchange Chicago Ethanol (Platts) Futures contracts to conceal trading losses he was incurring. The losses concealed ultimately grew to cause the bank and its affiliate to suffer over $40 million in realized losses before Brooks’s fraud was detected, leading to his termination, according to the Complaint. Brooks resides in Houston, Texas.
Chief Litigation Counsel Matthew Martens To Leave SEC

Date 27/09/2013

The Securities and Exchange Commission today announced that Matthew T. Martens, the Chief Litigation Counsel for the Division of Enforcement, will leave the agency next month.
CFTC Orders R.J. O’Brien & Associates LLC To Pay $125,000 For Violation Of Customer Protection Regulation - RJO Unlawfully Commingled Secured Foreign Futures And Options Customer Funds With Segregated Domestic Futures And Options Customer Funds

Date 27/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against R.J. O’Brien & Associates LLC (RJO), a CFTC-registered Futures Commission Merchant (FCM) based in Chicago, Illinois, for unlawfully commingling secured foreign futures and options customer funds with segregated domestic futures and options customer funds. The CFTC Order requires RJO to pay a $125,000 civil monetary penalty and orders RJO to cease and desist from further violations of CFTC Regulation 30.7(d).
Matthew Solomon Named SEC Chief Litigation Counsel

Date 27/09/2013

The Securities and Exchange Commission today announced that Matthew C. Solomon will be promoted to the position of Chief Litigation Counsel in the Division of Enforcement next month.
CME Group Inc. Announces Date Of Third-Quarter 2013 Earnings Release, Conference Call

Date 27/09/2013

CME Group Inc. will announce earnings for the third quarter of 2013 before the markets open on Monday, November 4, 2013. The company has scheduled an investor conference call that day at 7:30 a.m. Central time.