FTSE Mondo Visione Exchanges Index:

News Centre

News

Taking A No-Nonsense Approach To Enforcing The Federal Securities Laws - Speech By SEC Commissioner Luis Aguilar At The Securities Enforcement Forum 2012

Date 18/10/2012

Good morning. I would like to thank Bruce Carton for inviting me to participate in the inaugural 2012 Securities Enforcement Forum. I am delighted to be here with a group of people who care about the SEC as an institution and desire for it to carry out its mission. Before I begin, let me start by issuing the standard disclaimer that the views I express today are my own, and do not necessarily reflect the views of the Securities and Exchange Commission, my fellow Commissioners, or members of the staff.
CFTC To Hold Open Meeting To Consider A Notice Of Proposed Rulemaking On Enhancing Customer Protections

Date 18/10/2012

The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Thursday, October 25, 2012, at 1:00 p.m., to consider a Notice of Proposed Rulemaking on Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations.
Program Trading Averaged 29.9 Percent Of NYSE Volume During Oct. 8-12

Date 18/10/2012

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms' executed volume from NYSE's orders database. The report includes trading on the NYSE for Oct. 8-12.
SEC Charges Trio In ".44 MAGNUM" Investment Scheme

Date 18/10/2012

The Securities and Exchange Commission today charged a purported money manager and two of his chief marketers with defrauding investors in a fake company he created that bore a similar name to what was formerly one of Germany's largest banks.
Advanced Automation Will Bring Greater Efficiency To The Commission-Recapture Process, Says TABB Group

Date 18/10/2012

In new research published today, TABB Group says that recent advancements in automating low-touch trading are helping to ease institutional investors’ traditionally manual, often burdensome commission-recapture process.

Semi-Annual Review Of The Athex Index Series

Date 18/10/2012

The ATHEX Indices Advisory Committee met today and approved the following changes in the composition of the ATHEX Indices:
SEC: Hong Kong Firm To Pay $14 Million To Settle Insider Trading Charges

Date 18/10/2012

The Securities and Exchange Commission today announced that a Hong Kong-based firm charged with insider trading in July has agreed to settle the case by paying more than $14 million, which is double the amount of its alleged illicit profits. The proposed settlement is subject to the approval of Judge Richard J. Sullivan of the U.S. District Court for the Southern District of New York.
FTSE/ATHEX Index Series - Semi Annual Review

Date 18/10/2012

The FTSE/ATHEX Index Advisory Committee met today to approve the semi review - which will be implemented after the close of business on the last Friday of November 2012 -, in line with the new index structure of the FTSE/ATHEX Index Series.
FINRA Expels EKN Financial Services For Defying SEC Order And For Numerous Compliance Violations - CEO Barred - Former President Fined And Suspended

Date 18/10/2012

The Financial Industry Regulatory Authority (FINRA) today announced that it has expelled EKN Financial Services, Inc. of Melville, NY, for numerous compliance violations and for allowing its CEO, Anthony Ottimo, to act as a supervisor after being barred from acting in that capacity by the Securities and Exchange Commission (SEC) in June 2008. FINRA barred Ottimo from the securities industry and barred the firm's former President, Thomas Giugliano, from acting in a principal capacity, suspended him from the securities industry for one year and fined him $150,000. EKN, through Ottimo and Giugliano, also violated numerous NASD/FINRA and SEC rules and federal securities laws, including anti-money laundering (AML) violations, net capital deficiencies and widespread reporting failures.
Exercise Of Ibovespa Options Generates BRL 4.04 Billion Financial Volume On BM&FBOVESPA

Date 18/10/2012

The exercise of options on the BOVESPA Index (Ibovespa) generated BRL 4.04 billion yesterday, with 68,380 contracts traded. Of the volume exercised, BRL 1.13 billion was in put options and BRL 2.9 billion in call options.