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Oklahoma Federal Court Orders More Than $26 Million In Customer Restitution And Civil Monetary Penalties Against Prestige Ventures Corporation, Federated Management Group, Inc., Kenneth W. Lee And Simon Yang, Defendants In CFTC Action against Multi-Millio

Date 07/12/2010

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained more than $26 million in restitution and civil monetary penalties against defendants Kenneth W. Lee of Mt. Pleasant, S.C., Simon Yang of Edmond, Okla., Prestige Ventures Corp. (Prestige) and Federated Management Group, Inc. (FMG) (collectively, defendants), and relief defendants Sheila Lee, Darren Lee and David Lee (collectively, relief defendants). The court’
CFTC: Georgia Court Orders CRE Capital Corp. And Its Owner James G. Ossie To Pay $25.7 Million In Foreign Currency Ponzi Scheme

Date 07/12/2010

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained $25.7 million in civil monetary penalties and restitution in a federal court consent order against CRE Capital Corporation (CRE) and its president and owner, James G. Ossie of Dawsonville, Ga.
The Options Clearing Corporation Earns Top Honors For Clearing House Innovation At FOW Awards

Date 07/12/2010

The Options Clearing Corporation (OCC) announced today that it has won the “Best Innovation by a Clearing House - Americas” Award for 2010 from FOW, a leading global derivatives publication, for its efforts in the Options Symbology Initiative (OSI).
CFTC Requests Public Comment On An Application By CME Clearing Europe Limited For Registration As A Derivatives Clearing Organization

Date 07/12/2010

The Commodity Futures Trading Commission (CFTC) is asking for public comment on an application by CME Clearing Europe Limited for registration as a derivatives clearing organization.
SIFMA Testifies On Regulation Of The Municipal Securities Market

Date 07/12/2010

At a Securities and Exchange Commission (SEC) Field Hearing on the State of the Municipal Securities Market today, SIFMA offered its views on regulation of the municipal market following passage of the Dodd-Frank Act. SIFMA believes the benefits of the Municipal Securities Rulemaking Board (MSRB) are vast and that having a dedicated regulator with the expertise and focus on the municipal securities industry’s unique issues is valuable and has generally worked well since the Board was created in

CFTC Charges MXBK Group S.A. De C.V., A Mexican Financial Services Company, And Its Forex Trading Division, MBFX S.A., With Defrauding Hundreds Of U.S. Customers

Date 07/12/2010

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of an enforcement action in the U.S. District Court for the District of Utah, charging MXBK Group S.A. de C.V., a private Mexican financial services holding company, and its foreign currency (forex) trading division, MBFX S.A., with issuing false customer statements and misrepresenting trading results on their website in connection with their foreign currency (forex) trading enterprise. MBFX Group h
Speech By SEC Commissioner Elisse B. Walter: Statement At SEC Field Hearing On The State Of the Municipal Securities Market

Date 07/12/2010

Good morning. My name is Elisse Walter, and on behalf of the Chairman, my fellow Commissioners and the staff of the Securities and Exchange Commission ("SEC" or "Commission"), I am delighted to welcome you to our second field hearing on the State of the Municipal Securities Market, this one taking place here at the Commission's headquarters. For those of you watching by webcast, I'd like to extend a virtual welcome as well.
NYSE Arca Tech 100 Index® Announces Change To Index Components

Date 07/12/2010

NYSE Euronext Inc., today announced that the NYSE Arca Tech 100 Index® will replace the following constituents in the index as a result of a corporate action. The changes are effective as of market close on Thursday, December 9, 2010.
European Commission - State Aid: Overview Of National Measures Adopted As A Response To The Financial/Economic Crisis

Date 07/12/2010

This information provides an overview of the European Commission's decisions taken in the framework of the financial and economic crisis.
Index Securities Becomes Member Of NASDAQ Dubai - Broker Joins Exchange Following Merger Of NASDAQ Dubai's Liquidity Pool With DFM's

Date 07/12/2010

The UAE broker Index Securities has become a Member of NASDAQ Dubai, enabling it to trade securities on the region's international exchange.