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NASDAQ Dubai Academy Courses Will Provide Key Corporate Governance And Anti-Fraud Training

Date 22/09/2013

NASDAQ Dubai Academy will provide separate courses in corporate governance best practice and ways for companies to detect and prevent fraud, as it further expands its training output.
BATS 1000 Index Up 1.4% This Week

Date 21/09/2013

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) advanced 273.70 points, or 1.4%, this week to close at 19,293.47 as of the 4 p.m. ET market close today.
SEC Charges Father And Son In South Carolina For Fraudulent Program Designed To Profit From Fate Of Terminally Ill

Date 20/09/2013

The Securities and Exchange Commission today charged a father and son in Lexington, S.C., with operating a fraudulent investment program designed to illegally profit from the deaths of terminally ill individuals.
CFTC Commitments of Traders Reports Update

Date 20/09/2013

The current reports for the week of September 17, 2013 are now available.
OSC Announces Market Structure Advisory Committee Members For 2013 – 2015

Date 20/09/2013

The Ontario Securities Commission (OSC) announced today the membership of the Market Structure Advisory Committee (MSAC) for the 2013 – 2015 term.

CFTC Issues Notices Of Temporary Registration As A Swap Execution Facility To trueEX, LLC And ICE Swap Trade, LLC

Date 20/09/2013

The U.S. Commodity Futures Trading Commission (CFTC or Commission) has approved the applications of trueEX, LLC (trueEX) and ICE Swap Trade, LLC (ICE Swap Trade) for temporary registration as swap execution facilities (SEF) pursuant to section 5h of the Commodity Exchange Act (CEA) and section 37.3(c) of the Commission’s regulations. trueEX is a Delaware limited liability company and is a wholly-owned subsidiary of trueEX Group LLC, a Delaware limited liability company. ICE Swap Trade is a Delaware limited liability company and is a wholly-owned subsidiary of IntercontinentalExchange, Inc., a Delaware corporation.
Boom, Boom, Out Go The Lights - Statement Of CFTC Commissioner Bart Chilton

Date 20/09/2013

On September 30th, at the stroke of midnight, our country will face a government shutdown unless a continuing resolution to fund it is adopted. That would be grave news for consumers.
FIF Capacity Statistics For August 2013: Two New Record Peaks: Deutsche Borse CEF Core Scoach And BATS Options MCASTPITCH AGG

Date 20/09/2013

This month’s bulletin from the Financial Information Forum (FIF) finds that SIAC OPRA was up 5% to 5,081,671 mps over the 1 second interval.
Opening Statement Of CFTC Commissioner Scott D. O’Malia, Chairman Of The CFTC Technology Advisory Committee, Washington, DC

Date 20/09/2013

I would like to welcome our TAC members, members of the Subcommittee on Automated and High Frequency Trading, and other guests. I thank you all for joining us here. Our discussion today will include three panels: (1) SDR data harmonization, (2) the Commission’s recently published Concept Release on automated trading, and (3) SEF registration and compliance, and MAT submissions.
SEC Charges Former Technology Company Executive For Role In Rajaratnam Insider Trading Scheme

Date 20/09/2013

The Securities and Exchange Commission today charged a former executive at a Massachusetts-based technology firm for illegally tipping non-public information about the company’s financial predicament as part of the insider trading scheme operated by now-imprisoned Galleon Management hedge fund founder Raj Rajaratnam.