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SEC Charges Purported Money Manager With Defrauding Investors And Brokerage Firms

Date 03/09/2013

The Securities and Exchange Commission today charged a purported money manager in New York with conducting a free-riding scheme to defraud three brokerage firms, and then bilking several investors out of nearly a half-million dollars that he stole to fund his luxurious lifestyle that included a Bentley automobile, summers in the Hamptons, and casino junkets.
Direct Edge Trading Notice #13-39: Additional Fee Schedule Changes For September

Date 03/09/2013

Effective Tuesday, September 3, 2013, Direct Edge® will introduce the following pricing changes on the EDGA ExchangeSM (EDGA®) and EDGX ExchangeSM (EDGX®) to reflect recent updates to the NASDAQ and NASDAQ OMX BX fee schedules, pending filing with the Securities and Exchange Commission (SEC).
US Agencies Provide Model Template For Submission Of Tailored Resolution Plans

Date 03/09/2013

The Federal Reserve Board and the Federal Deposit Insurance Corporation (FDIC) on Tuesday released an optional model template for tailored resolution plans that certain firms will be submitting for the first time later this year.
OCC Announces Cleared Contract Volume Rose 4% In August

Date 03/09/2013

OCC announced today that total cleared contract volume in August reached 326,697,656 contracts, representing a 4 percent increase from the August 2012 volume of 313,781,757 contracts. OCC's year-to-date total cleared contract volume is up 3 percent from 2012 with 2,797,892,003 contracts.
The Options Industry Council Announces August Options Volume Rose 4 Percent

Date 03/09/2013

The Options Industry Council (OIC) announced today that 321,976,044 total options contracts traded in August, which is up 3.55 percent compared to last year when 310,936,920 contracts were traded.

CFTC Orders Macquarie Futures USA LLC To Pay A $150,000 Penalty For Failing To Maintain Adequate Funds In Secured Accounts In Connection With Conversion By Exchange Of Certain Off-Exchange Instruments To On-Exchange Products

Date 03/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Macquarie Futures USA LLC (Macquarie), a New York-based registered Futures Commission Merchant (FCM), for failing to maintain adequate funds in secured accounts, in violation of CFTC Regulation 30.7. The CFTC Order requires Macquarie to pay a $150,000 civil monetary penalty and to cease and desist from violating CFTC Regulation 30.7.
ISITC Europe Launches New FATCA Working Group

Date 03/09/2013

ISITC Europe, the industry group dedicated to improving the operational efficiency of the global financial industry, is pleased to announce the launch of its latest working group, covering the operational impact of the US’ FATCA legislation on European financial institutions.
ACTIV Financial Appoints Ben Collins Director Of Sales EMEA - Collins Brings 15 Years Of Market Data And Financial Services Technology Experience In Europe And Asia To Support ACTIV’s Global Expansion

Date 03/09/2013

ACTIV Financial, a global provider of real-time, multi-asset financial market data and solutions, today announced that Ben Collins has been appointed director of sales EMEA. Collins will join ACTIV’s growing London-based team to drive sales and marketing in EMEA as well as supporting ACTIV’s ongoing expansion in Asian markets. He brings 15 years of sales management experience working with major enterprises supporting their market data, analytics and technology solutions.
Average Daily Volume Of 6.6 Million Contracts At Eurex Group In August

Date 03/09/2013

In August 2013, the international derivatives markets of Eurex Group recorded an average daily volume of 6.6 million contracts (August 2012: 7.2 million). Of those, 4.5 million were Eurex Exchange contracts (August 2012: 5.1 million), and 2.1 million contracts (August 2012: 2.1 million) were traded at the U.S.-based International Securities Exchange (ISE). In total, 98.9 million contracts were traded at Eurex Exchange and 46.4 million at ISE.
ICAP Files SEF Application With CFTC

Date 03/09/2013

ICAP plc (IAP.L), a leading markets operator and provider of post trade risk mitigation and information services, announces today that its subsidiary ICAP SEF (US) LLC has filed its application to be a Swap Execution Facility (SEF) with the Commodity Futures Trading Commission (CFTC) in compliance with the Dodd-Frank Act.