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Date 09/02/2012
NYSE Group Inc. Issues Short Interest Report
The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of January 31, 2012.
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Date 09/02/2012
CFTC Obtains Permanent Injunction Against British Virgin Island Firm InterForex, Inc. For Acting As An Unregistered Retail Forex Dealer; Firm Ordered To Modify Website - Action Part Of CFTC’s Second Nationwide Sweep Against Foreign Currency Firms For Failure To Register Under The 2008 Farm Bill, The Dodd-Frank Act, And CFTC Regulations
The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court consent order that permanently bars defendant InterForex, Inc., of Tortola, British Virgin Islands, from soliciting or accepting orders to trade foreign currency (forex) from U.S. customers who are not Eligible Contract Participants (ECPs). The order also permanently bars InterForex from offering to be the counterparty to U.S. customers’ forex transactions, without registering with the CFTC.
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Date 09/02/2012
NYSE Amex Issues Short Interest Report
NYSE Amex (formerly known as NYSE Alternext US) today reported short interest as of the close of business on the settlement date of January 31, 2012.
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Date 09/02/2012
CFTC Issues Final Rule Amending Registration And Compliance Obligations For Commodity Pool Operators And Commodity Trading Advisors - Also Issues A Proposed Rule To Harmonize Compliance Obligations For Registered Investment Companies Required To Register As Commodity Pool Operators
The Commodity Futures Trading Commission (CFTC) today issued a final rule regarding changes to Part 4 of the Commission’s regulations involving registration and compliance obligations for commodity pool operators (CPO) and commodity trading advisors (CTA). The rule increases transparency to the CFTC of CPOs and CTAs acting in the futures and swaps markets and enhances protections for their customers. The rule passed 4-1, with Chairman Gensler, and Commissioners Chilton, O’Malia and Wetjen voting in favor and Commissioner Sommers voting against the final rule. The rule, which was first proposed on January 26, 2011, will be effective 60 days after publication in the Federal Register.
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Date 09/02/2012
NASDAQ Announces End-Of-Month Open Short Interest Positions in NASDAQ Stocks As Of Settlement Date January 31, 2012
At the end of the settlement date of January 31, 2012, short interest in 2,261 NASDAQ Global MarketSM securities totaled 6,414,407,342 shares compared with 6,699,994,804 shares in 2,267 Global Market issues reported for the prior settlement date of January 13, 2012. The end-of-January short interest represents 3.64 days average daily NASDAQ Global Market share volume for the reporting period, compared with 5.31 days for the prior reporting period.
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Date 09/02/2012
Statement Of Concurrence, Harmonization Of Compliance Obligations For Registered Investment Companies Required To Register As Commodity Pool Operators, CFTC Commissioner Jill E. Sommers
The final rules amending the Commission’s Part 4 regulations adopted today will require, among other things, that investment advisors of certain registered investment companies register as CPOs and operate under a dual SEC/CFTC regulatory regime. As explained in my dissent to the final rules, I could have supported a version of the rules that would have achieved the regulatory objectives outlined by the NFA in its August 18, 2010 petition to amend Rule 4.5. While I opposed the version of the rules the Commission ultimately adopted, having finalized them I support the Commission’s effort to harmonize the resulting compliance obligations. Dually registered entities should not be subject to duplicative, inconsistent, or conflicting requirements. The proposed rules, if finalized in their current form, would not achieve true harmonization. I urge those affected by the rules to submit detailed comment letters, with a focus on the costs and benefits of the rules as proposed and any suggested alternatives.
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Date 09/02/2012
Slide Presentation (PDF): SEC Staff Review Of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums On Auditing In The Small Business Environment
Click here to download a slide presentation by Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance in Washington, D.C. in February 2012.
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Date 09/02/2012
CFTC Chairman Gary Gensler: Statements Of Support, Amendments To Compliance Obligations And Harmonization Proposal
I support the final rule increasing the transparency to regulators of commodity pool operators (CPOs) and commodity trading advisors (CTAs) acting in the derivatives marketplace – for both futures and swaps. This rule reinstates the regulatory requirements in place prior to 2003 for registered investment companies that trade over a de minimis amount in commodities or market themselves as commodity funds. This rule enhances transparency in a number of ways and increases customer protections through amendments to the compliance obligations for CPOs and CTAs.
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Date 09/02/2012
SEC Charges Former Pharmaceutical Company Employee With Insider Trading On Biotech Deals
The Securities and Exchange Commission today charged that a former employee of Takeda Pharmaceuticals International, Inc. traded on inside information about the Japanese firm’s business alliances and corporate acquisitions.
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Date 09/02/2012
CFTC Commissioner Jill E. Sommers: Dissenting Statement, Commodity Pool Operators And Commodity Trading Advisors: Amendments To Compliance Obligations
The amendments to the Commission’s Part 4 regulations we are adopting with these final rules were prompted by a petition from the NFA seeking to reinstate certain operating restrictions that were in place prior to 2003 for entities excluded from the definition of CPO under § 4.5. Had we limited the amendments to address the issues raised by the NFA’s petition, we could have met our regulatory objectives without disrupting a significant number of business structures. I would have supported such an approach. As it is, we have gone far beyond what was needed to resolve NFA’s concerns and I must dissent.
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