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Date 13/02/2015
Readout From A US Treasury Spokesperson Of Secretary Lew's Call Today With Greek Prime Minister Alexis Tsipras
Today, Secretary Jacob J. Lew spoke by phone with Greek Prime Minister Alexis Tsipras to discuss the latest developments in Greece. Secretary Lew said that he looks forward to working with the new Greek government as it proceeds to articulate a concrete and comprehensive reform agenda in partnership with Europe and international institutions.
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Date 13/02/2015
Self-Regulatory Organizations - National Stock Exchange, Inc.: Order Granting Approval Of Proposed Rule Change In Connection With A Proposed Transaction In Which National Stock Exchange Holdings, Inc. Will Acquire Ownership Of The Exchange From The CBOE Stock Exchange, LLC
On December 16, 2014, National Stock Exchange, Inc. (“NSX” or the “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), and Rule 19b-4 thereunder, a proposed rule change to make certain amendments to its corporate governance documents in order to effectuate a proposed transaction (the “Transaction”) in which the Exchange will become a wholly-ownedsubsidiary of National Stock Exchange Holdings, Inc., a Delaware corporation (“NSX Holdings”). The proposed rule change was published for comment in the Federal Register on January 2, 2015. The Commission received no comments on the proposal.
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Date 13/02/2015
New York Attorney General Eric T. Schneiderman Announces Arrest And Indictment Of New York Hedge Fund Manager Related To $800,000 Securities Fraud Scheme - Moazzam Ifzal Malik, CEO Of Seven Sages Capital, L.P. And Wolf Hedge, LLC, Allegedly Solicited Dozens Of Investors And Diverted Their Money For Personal Use - If Convicted, Defendant Faces Up To 20 Years In Prison - Schneiderman: Brokers Who Commit Securities Fraud Will Be Brought To Justice
Attorney General Eric T. Schneiderman announced a felony indictment today charging Moazzam Ifzal Malik, a.k.a. Mark Malik, 33, of Lahore, Pakistan, with stealing over $250,000 from five investors by fraudulently soliciting them to invest in his purported hedge funds, including Seven Sages Capital, L.P. and Wolf Hedge LLC. Malik is accused of luring investors with false representations that he managed a multi-million dollar hedge fund that would guarantee high returns, and then diverted their monies for his own personal use. If convicted, the defendant faces up to 20 years in prison. He is currently being held on $1 million bond over $1 million cash bail.
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Date 13/02/2015
SEC Approves Sale Of National Stock Exchange By OpenMatch Holdings
The US Securities and Exchange Commission has given approval for the takeover of the National Stock Exchange by OpenMatch Holdings LLC. Terms of the deal were undisclosed.
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Date 13/02/2015
MCX Appoints B Venkataramani As Managing Director And CEO
Multi Commodity Exchange of India (MCX) has decided to appoint Balasubramaniam Venkataramani as managing director and chief executive officer.
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Date 13/02/2015
BATS 1000 Index Advances 1.7%This Week
BATS Global Markets (BATS), a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) rose 389.84 points to close at 23,296.73, up 1.7 percent over last Friday’s close.
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Date 13/02/2015
SEC Announces Fraud Charges Against Purported Hedge Fund Manager
The Securities and Exchange Commission today charged a purported hedge fund manager in New York City with stealing money from his investors.
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Date 13/02/2015
CFTC Commitments Of Traders Reports Update
The current reports for the week of February 10, 2015 are now available.
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Date 13/02/2015
Federal Court Orders Scott M. Ross And His Companies To Pay More Than $6.7 Million In Restitution And A Civil Monetary Penalty For Defrauding Investors In His Commodity Pools, Mishandling Customer Funds, And Failing To Properly Register As A Commodity Pool Operator
The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Order requiring Defendants Scott M. Ross, formerly of Gilberts, Illinois, and his companies, Maize Capital Management, LLC and Maize Asset Management, LLC, jointly to pay $5,402,818.89 in restitution to the participants in his fraudulent and illegal “Maize Fund” investment scheme, as well as a $1.3 million civil penalty. The court previously entered a Consent Order that imposes permanent trading and registration bans against all Defendants. Ross currently is incarcerated in Federal prison for his role in two other fraudulent investment scams.
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Date 13/02/2015
Why Is The SEC Wavering On Waivers? Remarks At The 37th Annual Conference On Securities Regulation And Business Law, SEC Commissioner Daniel M. Gallagher, Dallas, TX, Feb. 13, 2015
Thank you, Doug [Clayton] for that kind introduction. I am honored to be here with you today at this important conference.
For me, this event marks the close of a hugely gratifying and enlightening three-day tour of the great State of Texas. I have met with the troops at Fort Hood to discuss investor protection issues—this time, the investors being the brave men and women in our armed forces. I made another stop on what I have been calling my small business “listening tour” with an engaging group of small business owners in Ft. Worth. And, I was able to conduct my second town hall style discussion with the excellent staff in the SEC’s Ft. Worth Regional Office. I view it as part of my charge as an SEC Commissioner to travel outside of Washington, DC when my schedule permits, so I can directly hear about the issues that affect individuals, business owners, and other participants in the capital markets who don’t have a voice inside the Beltway, and of course it is always a rewarding experience to meet with our staff in the SEC’s regional offices.
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