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Date 24/10/2014
SEC Sanctions Florida-Based Auditor For Circumventing Rules
The Securities and Exchange Commission today sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly traded company in order to preserve the integrity of the financial reporting process.
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Date 24/10/2014
CFTC Commitments Of Traders Reports Update
The current reports for the week of October 21, 2014 are now available.
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Date 24/10/2014
Remarks Before Los Angeles County Bar Association 47th Annual Securities Regulation Seminar, SEC Commissioner Kara M. Stein, Los Angeles, California, Oct. 24, 2014
Thank you, John Hartigan, for that kind introduction. It’s a pleasure to be here in Los Angeles, and thank you to the Los Angeles County Bar Association for inviting me to be here with you today. Before I begin, I need to provide the requisite disclosure: the views I am expressing today are my own and do not necessarily reflect the views of the Commission, my fellow Commissioners, or the staff of the Commission.
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Date 24/10/2014
Direct Edge Regulatory Notice #14-05: Notice Regarding Integration Of BATS Global Markets Holdings, Inc. Data Agreement And Direct Edge Exchange Data Vendor Agreement, And Amendments To BATS U.S. Market Data Policies
On January 31, 2014, BATS Global Markets, Inc. (“BATS”) and Direct Edge Holdings LLC merged. In accordance with the terms of the transaction agreement, BATS and Direct Edge, Inc., a wholly-owned subsidiary of Direct Edge Holdings, LLC (“Direct Edge”), each became intermediate holding companies, held under a single new holding company. In conjunction with the transaction, the new holding company changed its name to “BATS Global Markets, Inc.” (“BGM”) and BATS changed its name to “BATS Global Markets Holdings, Inc.”
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Date 24/10/2014
ESMA Publishes Updated EMIR Q&A
The European Securities and Markets Authority (ESMA) has today issued the 11th update of its Q&A document on the implementation of the European Markets Infrastructure Regulation (EMIR). The Q&As provide answers and guidance related to questions receveid regarding the implementation of EMIR.
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Date 24/10/2014
SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies
The Securities and Exchange Commission today announced insider trading charges against a New Jersey man who generated nearly $700,000 in illicit profits trading in the securities of two pharmaceutical companies that were about to be acquired. The SEC charged his source of nonpublic information earlier this month.
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Date 24/10/2014
TOM MTF Statistics Week 43 2014
Click here to download the weekly statistics update of TOM MTF for week 43, 2014.
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Date 24/10/2014
Federal Court Orders California Resident Ryan A. Nassbridges And His California Companies To Pay Over $18 Million In Civil Monetary Penalties In A Commodity Pool Precious Metals Scheme - Three Relief Defendants, Including Bita Nassbridges, Ordered To Disgorge Ill-Gotten Gains Totaling More Than $2.1 Million
The U.S. Commodity Futures Trading Commission (CFTC) today announced that the U.S. District Court for the Central District of California entered a final judgment and permanent injunction Order against Defendants Ryan A. Nassbridges (a.k.a., Ryan Bridges and Ryan Nasserabadi) of Laguna Niguel, California, and American Bullion Exchange ABEX Corp. (ABEX Corp.), and American Bullion Exchange, LLC (ABEX LLC), both California companies owned and controlled by R. Nassbridges, in connection with a commodity pool precious metals scheme.
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Date 24/10/2014
Moscow Exchange To Launch MOEX Board Indicative Quotation System
Moscow Exchange will launch its new MOEX Board indicative quotation system in December 2014.
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Date 24/10/2014
FSB RCG Europe Seventh Meeting, Basel
The FSB Regional Consultative Group for Europe held its seventh meeting on 24 October in Basel, Switzerland
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