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  • FINRA Issues New Investor Alert, Cold Calls From Brokerage Firm Imposters—Beware Of Old-Fashioned Phishing

    Date 06/08/2013

    The Financial Industry Regulatory Authority (FINRA) today issued a new investor alert called Cold Calls From Brokerage Firm Imposters—Beware of Old-Fashioned Phishing to warn investors of cold calls from scammers falsely claiming to be representatives of at least one well-known brokerage firm. In this latest twist on phishing scams, fraudsters are cold calling investors claiming to offer information about certificates of deposit with yields well above the best rates in the market in an attempt to get potential victims to divulge their personal or financial account information. Armed with this information, the fraudsters may attempt to steal the person's identity or money from his or her account.

  • UBS To Pay $50 Million To Settle SEC Charges Of Misleading CDO Investors

    Date 06/08/2013

    The Securities and Exchange Commission today charged UBS Securities with violating securities laws while structuring and marketing a collateralized debt obligation (CDO) by failing to disclose that it retained millions of dollars in upfront cash it received in the course of acquiring collateral for the CDO.

  • Firms Elect Two Industry Governors To FINRA Board Of Governors, New Public Governor Appointed

    Date 06/08/2013

    The Financial Industry Regulatory Authority (FINRA) today announced the results of voting that took place at its 2013 Annual Meeting today in Washington, DC. In accordance with FINRA By-Laws, firms elected two Governors, one from among the small firms and one from among the large firms. FINRA also named a new public Governor to its Board of Governors. Governors are appointed or elected to three-year terms and may not serve more than two consecutive terms.

  • CFTC’s Division Of Market Oversight Issues An Amendment To Previously Issued No-Action Relief For Certain Commodity Trading Advisors And Investment Advisors From The Prohibition Of Aggregation For Large Notional Off-Facility Swaps

    Date 06/08/2013

    The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) today issued an amendment to CFTC No-Action Letter No. 13-48 previously issued by the Division on July 30, 2013 (Letter 13-48). Letter 13-48 grants relief from grants relief from the aggregation prohibition in § 43.6(h)(6) for certain commodity trading advisors (CTAs) and investment advisors (IAs) with respect to large notional off-facility swaps. The no-action letter provides that until October 1, 2013 at 11:59 pm EST, the Division will not recommend that the Commission take enforcement action against CTAs and IAs that aggregate orders for the purpose of executing large notional off-facility swaps, provided they meet specified conditions. The letter also grants relief from the aggregation prohibition in § 43.6(h)(6), for CTAs and IAs, subject to similar conditions as laid out in §43.6(h)(6), aggregating orders for swaps that are not listed on a swap execution facility (SEF) or a designated contract market (DCM).

  • ISE Gemini Announces Successful Launch

    Date 06/08/2013

    The International Securities Exchange (ISE) announced that ISE GeminiTM, ISE's second options exchange, successfully completed its first day of trading yesterday. ISE Gemini launched trading with six symbols -- Walt Disney Co. (DIS), NetApp Inc. (NTAP), Texas Instruments Inc. (TXN), Goldcorp Inc. (GG), NVIDIA Corp. (NVDA), and Dow Chemical Co. (DOW) -- and plans to add additional products over the next several weeks until it has ultimately listed all of the most active options classes. The new exchange offers maker-taker pricing combined with ISE's patented pro-rata and customer priority market structure.

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