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  • FINRA Expels WJB Capital Group, Inc. And Bars CEO And CFO For Misstating Financial Records And Net Capital Deficiencies

    Date 15/08/2012

    The Financial Industry Regulatory Authority (FINRA) today announced that it has expelled WJB Capital Group, Inc. for misstating its financial records and for engaging in securities transactions while it was below its required net capital. FINRA also barred the firm's Chief Executive Officer, Craig A. Rothfeld, from the securities industry, and barred the firm's Chief Financial Officer, Gregory S. Maleski, from acting in a principal capacity.

  • SEC Halts Denver-Based Ponzi Scheme

    Date 15/08/2012

    The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a Denver-based company and two Colorado residents carrying out a $15.7 million Ponzi scheme harming more than 120 investors nationwide.

  • Thomson Reuters And FXall Announce FSA Approval

    Date 15/08/2012

    Thomson Reuters (TSX / NYSE: TRI), the world's leading source of intelligent information for businesses and professionals, and FXall (NYSE:FX), the leading independent global provider of electronic foreign exchange trading solutions to corporations and asset managers, today announced that Thomson Reuters and all relevant affiliates have received formal approval from the Financial Services Authority in the United Kingdom (the "FSA") to the change of control of a subsidiary of FXall.  Approval from the FSA satisfies one of the conditions necessary for the consummation of the tender offer.  Thomson Reuters and FXall previously announced the satisfaction of the condition relating to the expiration or termination of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976.  Accordingly, all of the regulatory conditions of the tender offer, as described in the merger agreement, have been satisfied.

  • Dubai Financial Market Achieves 100% Compliance In Local Company Disclosures Of Q2-2012 Results

    Date 15/08/2012

    Dubai Financial Market (DFM) today announced that its listed local public joint stock companies have recorded a 100% compliance regarding the disclosure of Q2-2012 results within the deadline of 45 days from the end of the period.

  • CFTC Staff Grants Temporary No-Action Relief To Persons Eligible For The Trade Option Exemption

    Date 15/08/2012

    Today, the staff of the Division of Market Oversight issued a no-action letter providing that, for a limited time, market participants can rely on the trade option exemption in CFTC regulation 32.3 without complying with specified provisions thereof. The no-action letter is effective until the earlier of December 31, 2012, or the effective date of any final action taken by the Commission in response to comments on the Trade Option Exemption Interim Final Rules.

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