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Date 09/10/2014
FINRA Foundation Study Reveals Financial Vulnerability Of American Renters
The FINRA Investor Education Foundation released a new study, American Renters and Financial Fragility, which highlights the financial vulnerability of renters. American Renters reveals that renters tend to be less financially stable than homeowners, have lower rates of financial literacy and are more likely to experience a large drop in income. The findings suggest that, given their financial fragility and low levels of financial literacy, the renter population could have a difficult time responding to income shocks and the financial consequences associated with them.
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Date 09/10/2014
New York Attorney General Eric T. Schneiderman Announces Agreement With Citi To Return $16 Million To Consumers For Fee Overcharges - 31,000 Citigroup Customers Charged Higher-Than-Promised Rates; Thousands Of Consumers Currently Unaware Of Opportunity To Receive Refunds - Schneiderman: Agreement Ensures Promises Made To Citi Consumers Will Be Honored
Attorney General Eric T. Schneiderman today announced an agreement with Citigroup Global Markets, Inc. (CGMI), a subsidiary of Citigroup, to reimburse more than 31,000 Citi customers who were charged higher advisory fees than they negotiated. The agreement returns nearly $16 million to about 31,000 Citigroup customers. While some customers have already started to receive their refunds, thousands more are likely unaware that they are eligible to get money back.
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Date 09/10/2014
Opening Statement Chairman Timothy G. Massad Before The Global Markets Advisory Committee Open Meeting
Thank you, Mark. Commissioner Wetjen and his office, as well as the professional staff have done a tremendous amount of work to support the GMAC and I thank them for that. I also want to thank today’s participants. Your presence and input is very much valued.
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Date 09/10/2014
SIFMA Recommends Full Market Close On October 13 In The US, UK And Japan In Observance Of The Columbus And Sports Day Holidays
SIFMA has confirmed its previous recommendations for a full market close on Monday, October 13 for the trading of US dollar-denominated fixed-income securities in the U.S., theUK and Japan in observance of the U.S.’s Columbus Day and Japan’s Sports Day Holidays.
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Date 09/10/2014
CFTC Orders Former CBOT Floor Broker Kent Woods To Pay $200,000 Penalty And Charges Introducing Broker Futures International LLC And Chief Operating Officer Amadeo Cerrone With Trade Practice Violations And Supervision Failures
The U.S. Commodity Futures Trading Commission (CFTC) today announced the issuance of an Order filing and settling charges against Kent Woods of Chicago, Illinois, a longtime floor broker in the soybean commodity futures pit at the Chicago Board of Trade (CBOT), for failing to comply with applicable record-keeping and audit trail rules, the belated creation of trading records containing fictitious information that were submitted for clearing, engaging in unauthorized trading, and failure to supervise employees of Futures International LLC, a Chicago-based Introducing Broker of which he was a principal.
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Date 09/10/2014
OCC Reports Second Quarter Trading Revenue Of $6.4 Billion
Insured U.S. commercial banks and savings associations reported trading revenue of $6.4 billion in the second quarter of 2014, up $0.2 billion, or 4 percent, from $6.2 billion in the first quarter, the Office of the Comptroller of the Currency (OCC) reported today in the OCC’s Quarterly Report on Bank Trading and Derivatives Activities. Trading revenue in the second quarter was $0.7 billion, or 10 percent, lower than the $7.1 billion recorded in the second quarter of 2013.
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Date 09/10/2014
Statement Of Commissioner Mark Wetjen Before The Global Markets Advisory Committee Open Meeting
Thank you everyone for being here today. We have a couple of interesting topics to discuss here today, both related to currency and derivatives under the CFTC’s jurisdiction. Let me start by welcoming Chairman Massad and Commissioners Bowen and Giancarlo, their first GMAC meeting. And I want to extend a special welcome to David Bailey from the Bank of England, and Rodrigo Buenaventura from the European Securities and Markets Authority. It’s a pleasure to have you with us today. Before we turn to Chairman Massad and the other commissioners, I want to make a couple of brief remarks.
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Date 09/10/2014
SEC Charges Current And Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings
The Securities and Exchange Commission today announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in unregistered sales of microcap stocks on behalf of their customers.
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Date 09/10/2014
TeraExchange Completes First Bitcoin Derivatives Trade On Regulated Exchange
TeraExchange announced today the first bitcoin derivative transaction to be executed on a regulated exchange. The initial trade was completed between digitalBTC, the world's first bitcoin-focused company to commence trading on a major stock exchange, and a hedging counterparty.
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Date 09/10/2014
SEC Staff Issue Risk Alert And FAQs On Customer Sales Of Securities
The Securities and Exchange Commission today announced publication of a Risk Alert and FAQs to remind broker-dealers of their obligations when they engage in unregistered transactions on behalf of their customers. The publication of the staff guidance was accompanied by the announcement of an enforcement action against two firms for improperly selling billions of shares of penny stocks through such unregistered offerings.
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