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NYSE Group Inc. Issues Short Interest Report

Date 25/09/2013

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of September 13, 2013.

SEC Charges Former President Of California-Based Investment Firm With Fraud

Date 24/09/2013

The Securities and Exchange Commission today charged the former president of a purported private equity real estate firm based in San Bernardino, Calif., with defrauding nearly 500 investors who purchased promissory notes under the false premise that they were secured by specific properties or other collateral.

NASDAQ Announces Mid-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date September 13, 2013

Date 24/09/2013

At the end of the settlement date of September 13, 2013, short interest in 2,127 NASDAQ Global MarketSM securities totaled 7,061,571,599 shares compared with 6,959,211,368 shares in 2,128 Global Market issues reported for the prior settlement date of August 30, 2013. The Mid-September short interest represents 4.86 days average daily NASDAQ Global Market share volume for the reporting period, compared with 5.03 days for the prior reporting period.

NYSE MKT Issues Short Interest Report

Date 24/09/2013

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of September 13, 2013.

Ontario Securities Commission (OSC) Recognition Formalises LCH.Clearnet’s Risk Management Offerings To Canadian Market Participants

Date 24/09/2013

LCH.Clearnet Limited (LCH.Clearnet), a leading global clearing house, has been granted clearing agency recognition by the Ontario Securities Commission (OSC), for interest rate swaps, bonds and repos, and other cleared contracts, for Canadian market participants based in Ontario, where a large proportion of Canadian market activity occurs.

SEC Charges Two Bank Executives For Financial Misstatements And Failure To Disclose Probable Loss On Troubled Loan

Date 24/09/2013

The Securities and Exchange Commission today charged two former bank executives at Illinois-based Mercantile Bancorp with failing to recognize in financial statements a probable loss on one of the bank’s largest troubled loans.

CFTC Issues Order Of Temporary Registration As A Swap Execution Facility To INFX SEF Inc.

Date 24/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) has approved the application of INFX SEF Inc. (INFX SEF) for temporary registration as a swap execution facility (SEF) pursuant to section 5h of the Commodity Exchange Act (CEA) and section 37.3(c) of the CFTC’s regulations. INFX SEF is a Delaware corporation and is a wholly-owned subsidiary of Integral Development Corp., a California corporation.

New York Attorney General Schneiderman Highlights Growing Threat Early Access To Market-Moving Data & High-Frequency Trading Pose To U.S. Markets, Announces Confidential Hotline For Reporting Abuses - At Bloomberg Markets 50 Summit, Attorney General Urges Industry Insiders To Report Incidents Of New Form Of "Insider Trading 2.0" - Schneiderman: "Blinding Speed Coupled With Early Access To Data Gives Small Groups Of Traders The Power To Suck All The Value Out Of Market-Moving Information Before It Goes Public"

Date 24/09/2013

Attorney General Eric T. Schneiderman today highlighted the threat to our financial markets posed by the toxic combination of high-frequency trading, the potentially illicit sale of early access to market-moving information, and so-called "front-running" schemes that major hedge funds use to get early access to analyst reports. During remarks at the annual Bloomberg Markets 50 Summit today, Attorney General Schneiderman noted that this new form of "Insider Trading 2.0" undermines confidence in the markets by setting up a small minority of traders to receive enormous profits at the expense of the rest of the market.

CFTC Orders Vision Financial Markets LLC To Pay A $140,000 Civil Monetary Penalty For Failing To Diligently Supervise Its Employees

Date 24/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Vision Financial Markets LLC (Vision), a CFTC-registered Futures Commission Merchant (FCM) headquartered in Stamford, Connecticut, for failing to diligently supervise by failing to aggregate a customer’s multiple accounts, failing to use the proper delta, and utilizing a faulty software program in calculating the customer’s net position. The CFTC Order requires Vision to pay a civil monetary penalty of $140,000 and to cease and desist from violating the CFTC’s Regulation 166.3.

Intervention By Cecilia Malmström On The EU-US TFTP Agreement In The European Parliament

Date 24/09/2013