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SEC Charges 10 In Insider Trading Ring Around Investment Banker’s Illegal Tips On Impending Mergers

Date 05/12/2012

The Securities and Exchange Commission today charged an investment banker who was primarily based in Charlotte, N.C., and nine others involved in an insider trading ring that garnered more than $11 million in illicit profits trading on confidential information about impending mergers.
Talanx To Be Included In SDAX - Deutsche Börse Reviews Index Composition - Changes Are Effective On 27 December 2012

Date 05/12/2012

On Wednesday Deutsche Börse decided on changes in its selection indices. The following changes have been made to the SDAX Index: The shares of Talanx will be included in the index and will replace the shares of Constantin Medien.
Eris Exchange To Launch New, Margin-Efficient Interest Rate Swap Futures - Eris Standards Combine Swap Economics With The Regulatory And Capital Efficiency Of Futures

Date 05/12/2012

Eris Exchange, a US-based futures exchange, today announced the December 10 launch of Eris Standards — quarterly Interest Rate Swap Futures contracts that are expected to offer margin savings of 40-80% compared to cleared OTC interest rate swaps. Eris Standards are 2, 5, 10 and 30-year swap futures contracts with quarterly effective dates, pre-determined fixed rates, and cash settlement upon maturity. Additionally, on December 3, Eris Exchange launched the next generation of its Eris SwapBookTM electronic trading platform.
Federal Court In Idaho Orders CFTC Defendant Trigon Group, Inc. To Return More Than $20.6 Million Of Ill-Gotten Gains To Victims Of Its Fraud

Date 05/12/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Edward J. Lodge of the U.S. District Court for the District of Idaho entered a consent order of permanent injunction that requires defendant Trigon Group, Inc. (Trigon), an Idaho-based business, to disgorge more than $20.6 million of ill-gotten gains to the victims of its fraud. The consent order also imposes permanent trading and registration bans against Trigon and prohibits it from violating the anti-fraud provisions of the Commodity Exchange Act, as charged.
General Counsel Mark Cahn To Leave SEC

Date 05/12/2012

The Securities and Exchange Commission today announced that General Counsel Mark D. Cahn will leave the agency at the end of the year to return to the private sector.

Former Rochdale Securities Trader Arrested In Connecticut

Date 05/12/2012

A New York man was arrested today on a federal criminal complaint charging him with wire fraud, announced the U.S. Attorney, announced U.S. Attorney for the District of Connecticut David B. Fein and Special Agent in Charge of the New Haven Division of the FBI Kimberly K. Mertz. The complaint alleges that David Miller, 40, of Rockville Centre, N.Y., engaged in a fraud scheme relating to large purchases of stock in Apple Inc. while he was employed as an institutional sales trader for Rochdale Securities LLC of Stamford.
Trading And Markets Director Robert Cook To Leave SEC

Date 05/12/2012

The Securities and Exchange Commission today announced that Robert W. Cook, Director of the SEC’s Division of Trading and Markets, plans to leave the agency.
Assets In ETFs And ETPs Listed Globally Reach A New Record High With US$1.9 Trillion At The End Of November 2012

Date 05/12/2012

Global Exchange Traded Fund (ETF) and Exchange Traded Product (ETP) assets reached an all-time high of US$1.9 trillion at the end of November 2012, according to figures from ETFGI’s monthly global ETF and ETP industry insights.
CFTC: Federal Court In New York Orders Defendants Forex Capital Trading Group, Forex Capital Trading Partners, And Highland Stone Capital Management To Pay Over $1.8 Million For Fraud In Off-Exchange Foreign Currency Scheme - Court Order Permanently Bars Defendants From The Commodities Industry

Date 05/12/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Katherine B. Forrest of the U.S. District Court for the Southern District of New York entered a default judgment and permanent injunction order against defendants Forex Capital Trading Group, Inc.(Forex Group), Forex Capital Trading Partners, Inc. (Forex Partners), both of New York, N.Y., and Highland Stone Capital Management, L.L.C. (Highland Stone) of Rutherford, N.J. The order requires these defendants to pay a civil monetary penalty of $1,352,293 and to disgorge $450,764 of ill-gotten gains for the benefit of defrauded customers. The order also imposes permanent trading and registration bans against the defendants and prohibits them from violating the Commodity Exchange Act and CFTC regulations, as charged.
NYSE Euronext Announces Proposed Pan-European Project For SMEs

Date 05/12/2012

Following the recommendations of its Strategic Planning Committee for SMEs, NYSE Euronext (NYX) today announced plans to launch a pan-European exchange especially for small and medium-sized companies, developed in consultation with all of the Group’s European markets.