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Statement Of Commissioner Scott D. O’Malia On Made Available-To-Trade Determination

Date 16/01/2014

It is hard to imagine a federal agency regulatory process that is more flawed than the Made Available-to-Trade (“MAT”) determination. The Commission staff has certified all interest rate benchmarks and related packaged transactions for mandatory trading on swap execution facilities (“SEFs”) or designated contract markets (“DCMs”), while at the same time, stated that it will consider some future action for all packaged transactions. And to complicate things further, the Commission has been excluded from a major regulatory decision that significantly reshapes current market infrastructure.
BGC Partners' Fourth Quarter And Full Year 2013 Financial Results Announcement To Be Issued Prior To Market Open On Wednesday, February 12, 2014 - Conference Call Scheduled For Wednesday, February 12, 2014 At 10:00 A.M. ET

Date 16/01/2014

BGC Partners, Inc. (NASDAQ: BGCP) ("BGC Partners," "BGC," or "the Company"), a leading global brokerage company primarily servicing the wholesale financial and real estate markets, today announced that it plans to issue an advisory press release by 8:00 a.m. ET on Wednesday, February 12, 2014. This advisory release will notify the public that a complete and full-text financial results press release is accessible at the "Investor Relations" section of http://www.bgcpartners.com.
Aequitas Moves Forward To Build A New Canadian Stock Exchange And Private Securities Platform Set To Be Game Changers For Canada’s Capital Markets - Aequitas To Proceed With Exchange Application Following Successful Dialogue With The Industry

Date 16/01/2014

Aequitas Innovations Inc. (“Aequitas”) is pleased to announce that it will proceed with the implementation of a new Canadian stock exchange, as well as a centralized platform for private securities focused on capital raising and liquidity for small and mid-sized issuers. The exchange application will be based on the key features Aequitas published in 2013, including a number of amendments that resulted from an extensive dialogue and a comment process initiated by the Ontario Securities Commission (“OSC”).
SIFMA Roundtable Of Economists Offers A Steady Forecast For U.S. Economy

Date 16/01/2014

SIFMA's Economic Advisory Roundtable unveiled today its outlook for full year 2013 and 2014, forecasting that the economy grew at a 1.9 percent rate in full-year 2013 and will grow 2.7 percent in 2014.
FINRA Bars J.P. Morgan Vice President And Broker Friend In Insider Trading Scheme - FINRA Previously Barred Westrock Advisors Broker For Failing To Provide Testimony

Date 16/01/2014

The Financial Industry Regulatory Authority (FINRA) announced today that it has barred David Michael Gutman, a Vice President in the conflicts office of J.P. Morgan Securities, LLC, and Christopher John Tyndall, a former registered representative at Meyers Associates, L.P., from the securities industry for their roles in an insider trading scheme. Gutman and Tyndall were longtime close personal friends who grew up together on Long Island. FINRA's investigation found that Gutman improperly shared material, non-public information with Tyndall during conversations that took place between March 2006 to October 2007 regarding at least 15 pending corporate merger and acquisition transactions. Tyndall then used the information to trade ahead of at least six of the corporate announcements using personal and family accounts over nearly a two-year period, and also recommended the stocks to his customers and friends. Also in connection with its investigation, FINRA barred a third broker, Joseph Critelli – also a friend of Tyndall and a registered representative at Westrock Advisors, Inc. at the time – in January 2013 for failing to appear for testimony related to his trading activity in this scheme.

CFTC Expands Portal Capabilities To Make Public Submissions More Efficient And Secure

Date 16/01/2014

The U.S. Commodity Futures Trading Commission (CFTC or Commission) announced today that it has expanded the capabilities of an external portal that allows market participants and the general public to submit information more easily and securely while enhancing the CFTC’s ability to process submissions.
Chicago Business Barometer Revised Up 1.7 Points To 60.8 In December 2013 - Growth In Second Half Of 2013 Revised Higher

Date 16/01/2014

The Chicago Business Barometer was revised up 1.7 points to 60.8 in December2013 from the previously reported figure of 59.1, as a result of the annual seasonal adjustment recalculation.
Treasury International Capital Data For November

Date 16/01/2014

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for November 2013. The next release, which will report on data for December 2013, is scheduled for February 18, 2014.
Former Microsoft Director Of Financial Integrity Martin T. Biegelman Joins IPSA International

Date 16/01/2014

IPSA International, Inc. (IPSA), an international risk advisory firm, is pleased to announce that Martin T. Biegelman has joined as Executive Vice President, U.S. Operations and Practice Chair, Litigation Support. Mr. Biegelman will manage the firm's growing Anti-Bribery/ Corruption and Litigation Support Practices while providing strategic direction and leadership as IPSA expands its global presence and service offerings. Martin will continue to provide clients subject matter expertise in responding to and mitigating risk from fraud, corruption and other compliance issues.
Thai Bourse Expects Derivative Warrants On Indices To Be Launched This Year

Date 16/01/2014

The Stock Exchange of Thailand (SET) has recently joined hands with brokers to continuously educate investors on using derivative warrants (DW), and expects that DWs on SET Index series can be launched by brokers this year. As many as 761 DWs were launched in 2013, with an average daily trading value of THB 1,000 million (approx. USD 33 million), increasing 254 percent from the previous year.