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Speech By SEC Commissioner Troy A. Paredes: Remarks At The 43rd Annual Rocky Mountain Securities Conference

Date 26/05/2011

Thank you for the warm welcome. I am pleased to join you in Denver this morning at the 43^rdAnnual Rocky Mountain Securities Conference. Today’s panels promise to be instructive — as they have been in other years — with a notable portion of the SEC’s range of responsibilities up for discussion. The distinguished panelists are certain to share with you discerning insights about the considerations that influence the SEC’s enforcement priorities; the oversight of broker-dealers and investment advisers; ongoing developments concerning accounting and auditing; corporate governance; and other important topics.
Federal Court In Texas Orders Richard D. Theye To Pay More Than $6.2 Million For Defrauding Investors In A Multi-Million Dollar Ponzi Scheme - Theye Pled Guilty To Criminal Felony Charges And Was Sentenced To 144 Months At Federal Correctional Institution

Date 26/05/2011

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal default judgment order requiring defendant Richard D. Theye of Austin, Texas, to pay more than $6.2 million in restitution and civil monetary penalties for operating a commodity pool Ponzi scheme. The order stems from a CFTC complaint filed on June 1, 2010, that charged Theye and his company, Micind Capital Management, Inc., with fraud in connection with running a multi-million dollar Ponzi scheme (see CFTC Press Release 5840-10, June 21, 2010).
NYSE Euronext U.S. Options To Begin Trading Options On LinkedIn Friday, May 27 - NYSE Amex Options Named As Primary Exchange For LNKD Options

Date 26/05/2011

NYSE Euronext is pleased to announce the listing of options contracts on LinkedIn Corporation (NYSE: LNKD) on its two distinct options exchanges, NYSE Arca and NYSE Amex options. The Options Clearing Corporation (OCC) has designated NYSE Amex Options as the primary market for all LNKD options. Trading will begin Friday, May 27, 2011.
CFTC Charges Nebraska Residents Jonathan W. Arrington, Michael B. Kratville And Michael J. Welke And their Companies With $4.7 Million Fraud - CFTC Charges The three Omaha-Area Individuals, Including One Attorney, And Their Companies With Fraud And Misappropriating More Than $1.5 Million Of Investors’ Funds For Personal Use

Date 26/05/2011

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of an enforcement action charging Jonathan W. Arrington, Michael B. Kratville, Michael J. Welke and their companies, Elite Management Holdings Corp. (EMHC) and MJM Enterprises LLC (MJM), all of Omaha, Neb., with defrauding more than 130 commodity pool participants, the majority of whom are from the greater Omaha area, of at least $4.7 million.
SEC Charges Former NASDAQ Managing Director With Insider Trading

Date 26/05/2011

The Securities and Exchange Commission today charged a former managing director of The NASDAQ Stock Market with insider trading on confidential information that he stole while working in a market intelligence unit that communicates with companies in advance of market-moving public announcements.

TMX Group Inc. Comments On Maple Announcement - Continues To Recommend Agreed Merger With London Stock Exchange Group

Date 26/05/2011

TMX Group Inc. acknowledges the announcement made by Maple Acquisition Group Corporation (“Maple”) on May 25, 2011 regarding its intention to initiate a unilateral offer to acquire TMX Group.
FINRA Issues Warning On Stock-Based Loan Programs

Date 26/05/2011

The Financial Industry Regulatory Authority issued a new Investor Alert — Stock-Based Loan Programs: What Investors Need to Know — to educate investors about non-recourse stock-based loan programs, including the risks and rewards of these loans. Stock-based loans might be tempting for investors who need cash — or who want to tap the value of their portfolios without selling their investments. However, as recent FINRA enforcement actions confirm, stock-based loan programs can be risky, especially when they involve non-recourse loans from unregistered, unregulated third-party lenders.
CFTC Staff To Host Public Roundtable To Discuss Swap Data Recordkeeping And Reporting Requirements

Date 26/05/2011

Staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable on June 8, 2011, from 1:00 pm to 5:00 pm to discuss technical aspects of implementing infrastructures for issuance and maintenance of Unique Product Identifiers (UPIs), as they apply to CFTC’s proposed swap data recordkeeping and reporting rules, as well as other CFTC proposed rules, with a focus on the products and entities under the Commission’s jurisdiction. The roundtable will assist the CFTC in the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Program Trading Averaged 28.6 Percent Of NYSE Volume During May 16-20

Date 26/05/2011

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 May 16-20.
CBOE To List Options On Linkedin (Lnkd) On Friday, May 27

Date 26/05/2011

The Chicago Board Options Exchange (CBOE) today announced it will list options on LinkedIn Corporation (LNKD) beginning this Friday, May 27. Barclays Capital will serve as the Designated Primary Market Maker (DPM) for LNKD options at CBOE.