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SIFMA Supports Legislative Alternatives To Volcker Rule

Date 07/09/2012

SIFMA today sent a letter to Representative Spencer Bachus, chairman of the House Financial Services Committee, in response to his request for public comments on legislative alternatives to the Volcker Rule. The letter was co-signed by the Financial Services Roundtable.

CFTC.Gov Commitments Of Traders Reports Update

Date 07/09/2012

Historical Viewable Commitments of Traders Reports


	Disaggregated Futures Only		Disaggregated Futures-and-Options -Combined
Agriculture	Long Format	Short Format NA	Long Format	Short Format NA
Energy	Long Format	Short Format NA	Long Format	Short Format NA
Other	Long Format	Short Format NA	Long Format	Short Format NA

Variable Names for Legacy Format of Long COT Reports and Supplemental Reports

BATS 1000 Index Gains 2.3% This Week

Date 07/09/2012

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000®Index (Ticker: BATSK) rose 364.42 points, or 2.3%, this week to close at 16,102.65 as of 4 p.m. ET today.
CFTC Charges Nikolai S. Battoo And Four Companies He Controls With Fraud In Connection With Commodity Pools That Accepted Over $140 Million From U.S. Investors - Defendants Allegedly Made Fraudulent Misrepresentations And Omissions To Hide Losses Sustained By A Series Of Commodity Pools Called “Private International Wealth Management”

Date 07/09/2012

On September 6, 2012, the U.S. Commodity Futures Trading Commission (CFTC) filed an emergency action in the U.S. District Court for the Northern District of Illinois to freeze assets under the control of defendants Nikolai S. Battoo (Battoo), BC Capital Group S.A., BC Capital Group International Limited, BC Capital Management LLP, and BC Capital Group Holdings S.A. (the BC Common Enterprise). The action also seeks an order appointing a receiver for the BC Common Enterprise and related entities, prohibiting the defendants from destroying books and records, and granting the CFTC immediate access to evidence.
SEC Charges Asset Manager Lied To Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis

Date 07/09/2012

The Securities and Exchange Commission today announced an emergency enforcement action against an asset manager who has boasted remarkable investment success throughout the global financial crisis while allegedly exaggerating the value of the assets he manages and concealing major losses from investors.

STOXX Announces New Composition Of Sustainability, ESG And Style Indices - Results of the Review to be Effective on September 24, 2012

Date 07/09/2012

STOXX Limited, the market-moving provider of innovative, tradable and global index concepts, today announced the results of the annual review of the STOXX Sustainability, STOXX Global ESG Leaders,STOXX Strong Style and STOXX Balkan 50 Equal-Weight indices; as well as those of the semi-annual review of the STOXX TMI Growth, STOXX TMI Value and their respective large, mid- and small sub-indices and the respective indices for the euro zone. All changes will be effective on September 24, 2012.
N.Y.-Based Investment Advisory Firm And Founder Settle SEC Charges For Fraudulent Management Of CDOS

Date 07/09/2012

The Securities and Exchange Commission today announced that New York-based investment advisory firm ICP Asset Management and its founder and president Thomas C. Priore have agreed to settle the agency’s charges that they defrauded several collateralized debt obligations (CDOs) they managed.
Direct Edge Market Data Notice #12-39: Introducing The Edge Routed Liquidity Report

Date 07/09/2012

Direct Edge^® is pleased to introduce the Edge Routed Liquidity Report^SM, a new, innovative data product that provides unique insight into trading opportunities on our exchanges. The new product is anticipated to launch by the end of September 2012 as per the Exchanges' filings with the Securities and Exchange Commission.
SEC Shuts Down San Diego-Based Real Estate Investment Fraud

Date 07/09/2012

The Securities and Exchange Commission today announced an asset freeze against a San Diego-based firm and its owner accused of running a real estate investment fraud that raised approximately $50 million from hundreds of investors nationwide.
TMX Group Equity Financing Statistics – August 2012 - Toronto Stock Exchange, TSX Venture Exchange

Date 07/09/2012

TMX Group Limited today announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for August 2012.