News Centre

CFTC: Federal Court In New York Orders Madison Dean, Inc. And Its Principal, George Athanasatos, To Pay Over $1.4 Million To Settle Forex Fraud Charges In CFTC Enforcement Action

Date 11/03/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court Order against Defendants Madison Dean, Inc. (Madison Dean), of Wantagh, N.Y., and its principal, George Athanasatos, also of Wantagh, requiring them jointly to pay nearly $250,000 in restitution to defrauded customers. The Consent Order of Permanent Injunction, entered by Judge Joseph F. Bianco of the U.S. District Court for the Eastern District of New York, also imposes a $1 million civil monetary penalty on Madison Dean and a penalty of $210,000 on Athanasatos. The Order imposes permanent trading and registration bans against both defendants and prohibits them from violating the anti-fraud provisions of the Commodity Exchange Act, as charged.

SIFMA Announces New White Paper: “The Evolving Role Of Compliance”

Date 11/03/2013

SIFMA today announced the availability of a new white paper, “The Evolving Role of Compliance.” This white paper examines the responsibilities, opportunities and limitations of the Compliance function in the evolving financial industry and builds upon a 2005 white paper issued by SIFMA titled “The Role of Compliance.”  “The Evolving Role of Compliance” is a collaborative effort between SIFMA, the SIFMA Compliance & Legal Society, and the SIFMA Compliance and Regulatory Policy Committee. 

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

Date 11/03/2013

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.

NASDAQ Announces End-of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date February 28, 2013

Date 11/03/2013

At the end of the settlement date of February 28, 2013, short interest in 2,128 NASDAQ Global Market^SM securities totaled 7,110,471,305 shares compared with 6,962,737,646 shares in 2,134 Global Market issues reported for the prior settlement date of February 15, 2013. The end-of-February short interest represents 4.03 days average daily NASDAQ Global Market share volume for the reporting period, compared with 3.67 days for the prior reporting period.

BM&FBOVESPA: Commodities/Options Exercise And Blocking

Date 11/03/2013

• See the new trading times for futures and option contracts and for structured transactions

Quarterly Changes To The NASDAQ Golden Dragon China Index

Date 11/03/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ)today announced the results of the quarterly evaluation of the NASDAQ Golden Dragon China Index (Nasdaq:HXC), which will become effective prior to market open on Monday, March 18, 2013.

SEC Charges Private Equity Firm, Former Executive, And Consultant For Improperly Soliciting Investments

Date 11/03/2013

The Securities and Exchange Commission today announced charges against New York-based private equity firm Ranieri Partners, a former senior executive, and an unregistered broker who violated securities laws when soliciting more than $500 million in capital commitments for private funds managed by the firm.

Annual Changes To The NASDAQ Internet Index

Date 11/03/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ)today announced the results of the annual evaluation of the NASDAQ Internet Index (Nasdaq:QNET), which will become effective prior to market open on Monday, March 18, 2013.

NYSE Group Inc. Issues Short Interest Report

Date 11/03/2013

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of February 28, 2013.

Semi-Annual Changes To The NASDAQ Technology Dividend Index

Date 11/03/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ), parent of the world's first electronic stock market and a leading index provider, today announced the results of the semi-annual evaluation of the NASDAQ Technology Dividend Index (Nasdaq:NQ96DIVUS), which will become effective prior to market open on Monday, March 18, 2013.