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Daniel Kahl Named As Chief Counsel Of National Exam Program

Date 17/02/2016

The Securities and Exchange Commission today announced that Daniel S. Kahl has been named Chief Counsel of its Office of Compliance Inspections and Examinations (OCIE). In this role Mr. Kahl will oversee a staff of 15 lawyers and advise OCIE’s leadership on legal, technical, and policy matters regarding the agency’s National Exam Program.
CFTC Swaps Report Update

Date 17/02/2016

CFTC's Weekly Swaps Report has been updated, and is now available.
US Department Of Justice: Former Chief Operating Officer Of Davis Bio-Pesticide Company Indicted For Securities Fraud - SEC Files Separate Civil Complaint

Date 17/02/2016

Hector Absi, 47, of Las Vegas, Nevada, was arrested today by FBI agents at his home in Las Vegas. He is charged in a 16-count indictment, unsealed today, that was returned by a federal grand jury in Sacramento, California, on February 11. The indictment charges Absi with conspiracy to commit mail fraud, wire fraud and securities fraud; substantive counts of mail, wire and securities fraud; and with other securities-related charges, U.S. Attorney Benjamin B. Wagner for the Eastern District of California announced.
SEC Charges Biopesticide Company And Former Executive With Accounting Fraud

Date 17/02/2016

The Securities and Exchange Commission today charged biopesticide company Marrone Bio Innovations and a former executive with inflating financial results to meet projections it would double revenues in its first year as a public company. Marrone Bio agreed to pay a $1.75 million penalty to settle the SEC’s charges.
OCC Welcomes ISE Mercury Options Exchange

Date 17/02/2016

OCC, the world’s largest equity derivatives clearing organization, announced today that ISE Mercury has become an OCC participant exchange. ISE Mercury, ISE’s newly launched options exchange, began operations on February 16, bringing to 14 the total number of U.S. options markets.

SEC Announces Agenda For February 25 Meeting of the Advisory Committee On Small And Emerging Companies

Date 17/02/2016

The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies will examine the capital formation landscape for small and emerging companies, including data on capital raised in unregistered securities offerings.
Richard G. Ketchum, Chairman And Chief Executive Officer FINRA; Remarks From The Exchequer Club - Essential Elements Of Sound Capital Market Structure

Date 17/02/2016

Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you today to talk about topics of mutual interest. I suspect that one of those shared interests is capital markets, where businesses and investors intersect.
SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View

Date 17/02/2016

The Securities and Exchange Commission today charged a former Deutsche Bank research analyst with certifying a rating on a stock that was inconsistent with his personal view.
ISE Mercury Completes Successful Launch

Date 17/02/2016

The International Securities Exchange Holdings, Inc. (ISE Holdings) today announced that ISE Mercury™, ISE Holdings’ third options exchange, launched successfully yesterday. ISE Mercury launched with twelve symbols that were selected as the first of four phases of product rollouts. The rollout schedule, which initially includes more than 600 of the most actively-traded options products, is available here.
Minutes Of The Federal Open Market Committee, January 26-27, 2016

Date 17/02/2016

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on January 26-27, 2016.