News Centre

CFTC Charges Ron Eibschutz With Aiding And Abetting Disclosures Of Material Nonpublic Information About Customer Trades In Its Case Against The CME Group’s New York Mercantile Exchange And Two Former Employees

Date 08/05/2013

The U.S. Commodity Futures Trading Commission (CFTC) today filed an amended Complaint in its pending enforcement action, U.S. Commodity Futures Trading Commission v. William Byrnes, et al. (U.S. District Court, Southern District of New York, 13 CIV 1174), naming Ron Eibschutz as a Defendant in its ongoing case against the New York Mercantile Exchange, Inc. (CME NYMEX), and two former CME NYMEX employees, William Byrnes and Christopher Curtin. (See CFTC Press Release 6519-13, February 21, 2013.)

FINRA Fines Three Firms $900,000 For Inadequate Anti-Money Laundering Programs - Four Firm Executives Fined And Suspended

Date 08/05/2013

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-money laundering (AML) programs and other supervisory systems to detect suspicious transactions. FINRA also fined and suspended four executives involved. FINRA imposed the following sanctions.

CFTC’s Division Of Market Oversight Issues Advisory Providing Guidance To Reporting Markets On How To Submit Block Trade Volume Data

Date 08/05/2013

The Division of Market Oversight of the Commodity Futures Trading Commission today issued an Advisory to reporting markets subject to Part 16 of the Commission’s regulations that provides guidance as to how block trade volume data should be reported pursuant to Regulation 16.01 while the Commission transitions to an enhanced data reporting standard.

TSX Trading List Leaders By Volume And By Values - April 2013

Date 08/05/2013

TSX Trading List Leaders

The TSX Trading List Leaders list shows the top ten brokers chosen by their customers to execute their trades on Toronto Stock Exchange. The leaders are measured by volume and value of securities traded.

CFTC’s Division Of Market Oversight Issues Advisory Reminding Market Participants Of Certain Call Cotton Reporting Requirements And A No-Action Position Allowing For E-Mail Submission Of Form 304 Reports

Date 08/05/2013

The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) today issued an Advisory to reportable market participants reminding them of their legal obligation to submit weekly Form 304 reports for call cotton in a timely manner as required under Regulation 19.02. DMO also took a no-action position with respect to allowing Form 304 reports to be submitted to a newly-created email account (Form304@cftc.gov), in lieu of submission by fax or telephone and mail.

Can Wikipedia Predict The Stock Market?

Date 08/05/2013

Wikipedia could have been used as early warning signs of stock market movements, according to a new study published today in Scientific Reports.

OCC Board Of Directors Welcomes Three New Members

Date 08/05/2013

OCC announced today that Felix B. Davidson, Raymond J. Di Sanza and Craig C. Messinger were elected to its Board of Directors.

Trading Technologies Expands Functionality And Adjusts Pricing

Date 08/05/2013

Trading Technologies International, Inc. (TT) today announced that effective June 1, TT will offer X_TRADER® with  bundled  access  to  all  of  TT’s  35  supported  markets for the flat rate of $500 per month and X_TRADER Pro for a reduced price of $1200 per month. Also, X_TRADER will now include synthetic order functionality through its Synthetic Strategy Engine (Synthetic SE), which was previously available only with X_TRADER Pro.

TOM Insight April 2013

Date 08/05/2013

Click here to download TOM’s April ‘13 Insight, a document describing matching statistics on TOM MTF and savings made for the retail client by TOM Smart Execution.

ESMA Offices Closed On 9 And 10 May

Date 08/05/2013

ESMA’s offices will be closed on the following days: