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CFTC’s Division Of Market Oversight Provides Additional Information Concerning Its Existing No-Action Relief (CFTC Letter No. 12-46) For Reporting Parties Regarding Legal Entity Identifiers And Certain Identifying Information

Date 21/12/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) today is providing additional information pertaining to its existing no-action relief for reporting parties under Parts 20, 45 and 46 of the Commission’s regulations (CFTC Letter No. 12-46 or Letter).
BATS 1000 Index Rose 1.3% This Week

Date 21/12/2012

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) gained 208.64 points, or 1.3%, this week to close at 16,110.60 as of the 4 p.m. ET market close today.
CFTC Approves Exemptive Order On Cross-Border Application Of The Swaps Provisions Of Dodd-Frank

Date 21/12/2012

The Commodity Futures Trading Commission (Commission) today approved an exemptive order providing time-limited relief from certain cross-border applications of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) and the Commission’s regulations. The purpose of the order is to foster an orderly phase in to the new swaps regulatory regime and to provide market participants greater certainty regarding their obligations with respect to cross-border swap activities. Under the exemptive order, a non-U.S. person that registers with the Commission as a swap dealer (SD) or major swap participant (MSP) may delay compliance with certain entity-level requirements adopted under the Dodd-Frank Act, and non-U.S. SDs and MSPs and foreign branches of U.S. SDs and MSPs may delay compliance with certain transaction-level requirements adopted under the Dodd-Frank Act (subject to specified conditions). The order also includes a definition of the term “U.S. person” which will apply for purposes of the order. The vote was conducted via seriatim, which was approved 4 to 1, with Chairman Gensler and Commissioners Chilton, O’Malia and Wetjen voting in favor and Commissioner Sommers voting against. The exemptive order expires on July 12, 2013.
CNSX And Pure Trading Christmas & New Year Holiday Schedule

Date 21/12/2012

Please be advised that CNSX and Pure Trading markets and offices will be closed for the following holidays.
Statement Of Support By CFTC Chairman Gary Gensler On Final Exemptive Order Regarding Compliance With Certain Swap Regulations And Further Proposed Guidance (Final Order)

Date 21/12/2012

I support the Final Exemptive Order Regarding Compliance with Certain Swap Regulations and Further Proposed Guidance (Final Order). With this Commission action another important step has been taken to make swaps market reform a reality.

SEC Charges Four Penny Stock Purchasers With Fraud

Date 21/12/2012

The Securities and Exchange Commission today charged four securities industry professionals with conducting a fraudulent penny stock scheme in which they illegally acquired more than one billion unregistered shares in microcap companies at deep discounts and then dumped them on the market for approximately $17 million in illicit profits while claiming bogus exemptions from the federal securities laws.
CFTC Commitments Of Traders Reports Update

Date 21/12/2012

The current reports for the week of December 18, 2012 are now available.
SEC Approves New Rules Regarding Lost Holders Of Securities

Date 21/12/2012

The Securities and Exchange Commission today unanimously approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact.
“Orchestrating Harmony” - Statement By CFTC Commissioner Bart Chilton On Cross Border Issues

Date 21/12/2012

As we have set out to do from the beginning of the Dodd-Frank rulemaking process, we are cognizant of the need for regulators around the globe to harmonize rules to the extent possible in order to avoid market disruption and regulatory arbitrage.
SEC Bans Arizona-Based Investment Adviser From Securities Industry For Fraudulent Actions In Mutual Fund Collapse

Date 21/12/2012

The Securities and Exchange Commission today barred an Arizona-based mutual fund manager from the securities industry for failing to follow the investment objectives of a stock mutual fund managed by his firm, leading to the fund’s collapse.