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NYSE Group Inc. Issues Short Interest Report

Date 25/09/2012

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of September 14, 2012.
CFTC Orders China-based Weidong Ge And Sheenson Investments, Ltd. To Pay $1.5 Million In Monetary Sanctions For Violating Speculative Position Limits In Cotton And Soybean Futures

Date 25/09/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Weidong Ge(Ge) and Sheenson Investments, Ltd. (Sheenson), both of Shanghai, China, agreed to pay disgorgement of $1 million and a $500,000 civil monetary penalty to settle CFTC charges that they exceeded speculative position limits in Soybean Oil and Cotton No. 2 futures contracts.
NYSE MKT Issues Short Interest Report

Date 25/09/2012

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of September 14, 2012.
ISDA Response To UK HMT Consultation On Broadening The Special Resolution Regime Into Non-Bank Financial Institutions

Date 25/09/2012

Click here to download ISDA's response to the UK HMT consultation on broadening the special resolution regime into non-bank financial institutions.
CFTC Seeks To Revoke Registrations Of Nevada Resident Gordon A. Driver And his Company, Axcess Fund Management LLC

Date 25/09/2012

The U.S. Commodity Futures Trading Commission (CFTC) today filed a notice of intent to revoke the registrations of Gordon A. Driver and Axcess Fund Management LLC (Axcess Fund). Driver, a resident of Las Vegas, Nev., is registered with the CFTC as an Associated Person and is the sole principal of Axcess Fund, which is a registered Commodity Pool Operator.

SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis

Date 25/09/2012

The Securities and Exchange Commission today charged three former bank executives in Nebraska for participating in a scheme to understate millions of dollars in losses and mislead investors and federal regulators at the height of the financial crisis. One of the executives and his son also are charged with insider trading.
CFTC Charges Wisconsin Resident Eric N. Schmickle And His Company, Q Wealth Management Inc., With Operating A $5.3 Million Commodity Futures Fraud

Date 25/09/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil enforcement action against Cedarburg, Wisconsin resident Eric N. Schmickle and his company,Q Wealth Management Inc. The CFTC complaint charges Schmickle and Q Wealth Management with operating a commodity futures Ponzi scheme. The complaint alleges that the defendants made misrepresentations to induce investment, misappropriated customer funds, and created and sent false account statements, invoices for commission, and tax forms.
Steven Maijoor, Chair Of ESMA, Spoke At The EFAMA Investment Management Forum

Date 25/09/2012

Please click here to download the speech given today by Steven Maijoor, at the EFAMA Investment Managment Forum 2012, in Brussels.
FINRA Joins Exchanges And The SEC In Fining Hold Brothers More Than $5.9 Million For Manipulative Trading, Anti-Money Laundering, And Other Violations

Date 25/09/2012

The Financial Industry Regulatory Authority (FINRA), along with NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and BATS Exchange, Inc. today announced that they have censured and fined Hold Brothers On-Line Investment Services, LLC $3.4 million for manipulative trading activities, anti-money laundering (AML), and other violations. In a related case, the Securities and Exchange Commission (SEC) today announced a settlement with Hold Brothers, fining the firm more than $2.5 million.
SEC Charges N.Y.-Based Brokerage Firm With Layering

Date 25/09/2012

The Securities and Exchange Commission today charged a New York-based brokerage firm and three executives for allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled.