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  • Osaka Securities Exchange - Disciplinary Penalty On Transaction Participant: Deutsche Securities Inc.

    Date 10/08/2010

    Today, OSE imposed the discipline on Deutsche Securities Inc. (hereinafter written as the firm) pursuant to Article 42 (1) (ix) of the Regulations for Transaction Participants as follows. Discipline OSE imposed an admonition on the firm. Reason for the Discipline The firm’s act is acknowledged to be “the state that the firm is not deemed to have a sufficient degree of control of electronic information processing system relating to securities dealers” as defined in Arti

  • Component Changes Made To Dow Jones Islamic Market China/Hong Kong Titans 30 Index

    Date 09/08/2010

    Dow Jones Indexes, a leading global index provider, today announced that Denway Motors Limited (Hong Kong, Automobiles & Parts, 0203.HK) will be removed from the Dow Jones Islamic Market China/Hong Kong Titans 30 Index.

  • CFTC Seeks Public Comment On A Proposal To Amend The Requirements For Acknowledgment Letters

    Date 09/08/2010

    The Commodity Futures Trading Commission (CFTC) today published in the Federal Register a proposal to amend CFTC regulations 1.20, 1.26 and 30.7. These regulations concern the acknowledgment letters that a futures commission merchant or derivatives clearing organization must obtain from any depository holding its segregated customer funds or funds of foreign futures or foreign options customers.

  • SEC Charges Seattle-Area Company And Former CFO With Phony Accounting Of Infomercial Sales

    Date 09/08/2010

    The Securities and Exchange Commission today charged a Seattle-area skin care retailer and its former chief financial officer with fraudulently boosting earnings by reporting sales of anti-aging products promoted through Home Shopping Network infomercials while the products still sat unsold in the company's warehouse. The agency also began administrative proceedings against the company's outside auditors for professional misconduct.

  • R.J. O’Brien Promotes Bonniwell To Vice President Of Strategic Planning

    Date 09/08/2010

    R.J. O’Brien & Associates (RJO), the largest independent futures brokerage firm in the United States, announced the promotion of Kirk R. Bonniwell to the newly created position of Vice President of Strategic Planning.