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SEC Proposes to Amend Rules Governing Administrative Proceedings

Date 24/09/2015

The Securities and Exchange Commission today announced it has voted to propose amendments to rules governing its administrative proceedings.
Statement Of CFTC Chairman Timothy G. Massad Regarding Nodal Clear, LLC Registration As A Derivatives Clearing Organization

Date 24/09/2015

I am pleased that the Commission has approved this new clearing organization, which will provide additional clearing opportunity for energy market participants. Central clearing is an important way to monitor and mitigate risk of derivatives transactions. This approval reflects the fact that Nodal has implemented policies and procedures to comply with our requirements designed to ensure that clearinghouses operate safely and that customers are protected.
Canadian Securities Regulators Finalize Significant Changes To The Rights Offering Regime

Date 24/09/2015

The Canadian Securities Administrators (CSA) today announced the final implementation of a streamlined prospectus exemption for rights offerings by reporting issuers. The amendments to the rights offering regime are intended to address concerns expressed to the CSA by certain market participants that issuers seldom use the prospectus-exempt rights offering to raise capital because of the associated time and cost.
CFTC Grants Nodal Clear, LLC Registration As A Derivatives Clearing Organization

Date 24/09/2015

The U.S. Commodity Futures Trading Commission (Commission) today issued an order granting Nodal Clear, LLC (Nodal Clear) registration as a derivatives clearing organization (DCO) based on Section 5b of the Commodity Exchange Act.
CalPERS Announces Results Of Its 2015 PRI Assessment Report

Date 24/09/2015

The California Public Employees' Retirement System (CalPERS) has released the results of its Principles for Responsible Investment (PRI) Assessment Report. CalPERS received an A+ for the 2015 Overarching Approach Module, which is the highest grade a signatory can receive under the PRI assessment scheme.

Wall Street Firms Are Turning To Social Media Analytics, Focusing On Five Specific Approaches To Mine Data, According To TABB Research

Date 24/09/2015

Social media analytics’ adoption has moved beyond an embryonic stage where primary users have been hedge funds and quant firms. Increased adoption by long-only and fundamental asset managers has focused on five specific approaches to mining data and a push for better integration into workflows as the playing field continues to expand. However, according to new TABB Group research, it’s not a question of if, but how quickly it will be adopted by a wider range of firms.
CFTC Orders Cargill de México SA De CV To Pay $500,000 For Unlawfully Executing Wash Sales On The CBOT And KCBT

Date 24/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against commodities trading company Cargill de México SA De CV (Cargill de México) for executing wash trades involving corn, soybean, and wheat futures contracts on the Chicago Board of Trade (CBOT) and wheat futures contracts on the Kansas City Board of Trade (KCBT). The CFTC order requires that Cargill de México pay a $500,000 civil monetary penalty.
SEC Statement On Jury Verdict In Insider Trading Trial Of Ralph J. Pirtle And Morando Berrettini

Date 24/09/2015

Pirtle and Berrettini used their access to highly confidential information to illegally profit at the expense of ordinary investors who played by the rules. Today's jury verdict reaffirms our commitment to aggressively root out and prosecute insider trading schemes in order to protect the integrity of our markets.
CFTC Settles With TeraExchange LLC, A Swap Execution Facility, For Failing To Enforce Prohibitions On Wash Trading And Prearranged Trading In Bitcoin Swap

Date 24/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against TeraExchange LLC (Tera), a provisionally registered Swap Execution Facility (SEF), for failing to enforce its prohibition on wash trading and prearranged trading on the SEF platform. The CFTC Order requires Tera to cease and desist from future violations relating to its obligations to enforce rules on trade practices. Tera is based in Summit, New Jersey.
SEC Charges Six In Stock Fraud Scheme

Date 24/09/2015

The Securities and Exchange Commission today charged six men, including a father and three sons, with defrauding investors in Gerova Financial Group Ltd., whose shares once traded on the New York Stock Exchange.