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  • 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

    Date 13/02/2015

    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.

  • 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

    Date 13/02/2015

    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.

  • Bank Of England Financial Stability Paper 32: Estimating The Extent Of The ‘Too Big To Fail’ Problem – A Review Of Existing Approaches – Caspar Siegert And Matthew Willison

    Date 13/02/2015

    ​How big is the ‘too big to fail’ (TBTF) problem? Different approaches have been developed to estimate the impact being perceived as TBTF might have on banks’ costs of funding. One approach is to look at how the values of banks’ equity and debt change in response to events that may have altered expectations that banks are TBTF. Another is to estimate whether debt costs vary across banks according to features that make them more or less likely to be considered TBTF. A third approach is to estimate a model of the expected value of government support to banks in distress. We review these different approaches, discussing their pros and cons. Policy measures are being implemented to end the TBTF problem. Approaches to estimating the extent of the problem could play a useful role in the future in evaluating the success of those policies. With that in mind, we conclude by outlining in what ways we think approaches need to develop and suggest ideas for future research.

  • TOM MTF Statistics Week 7, 2015

    Date 13/02/2015

    Click here to download the weekly statistics update of TOM MTF for week 7, 2015. 

  • Statement On Making The Municipal Securities Market More Transparent, Liquid, And Fair, Commissioner Luis A. Aguilar, U.S. Securities And Exchange Commission

    Date 13/02/2015

    Introduction

    It is difficult to overstate the importance of the municipal securities market. There is perhaps no other market that so profoundly influences the quality of our daily lives. Municipal securities provide financing to build and maintain schools, hospitals, and utilities, as well as the roads and other basic infrastructure that enable our economy to flourish. Municipal bonds’ tax-free status also makes them an important investment vehicle for individual investors, particularly retirees. Ensuring the existence of a vibrant and efficient municipal bond market is essential, particularly at a time when state and local government budgets remain stretched.

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