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CFTC Commitments Of Traders Reports Update

Date 24/10/2014

The current reports for the week of October 21, 2014 are now available.
Remarks Before Los Angeles County Bar Association 47th Annual Securities Regulation Seminar, SEC Commissioner Kara M. Stein, Los Angeles, California, Oct. 24, 2014

Date 24/10/2014

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.
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

Date 24/10/2014

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.”
ESMA Publishes Updated EMIR Q&A

Date 24/10/2014

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.
SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies

Date 24/10/2014

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.

TOM MTF Statistics Week 43 2014

Date 24/10/2014

Click here to download the weekly statistics update of TOM MTF for week 43, 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

Date 24/10/2014

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.
Moscow Exchange To Launch MOEX Board Indicative Quotation System

Date 24/10/2014

Moscow Exchange will launch its new MOEX Board indicative quotation system in December 2014.
FSB RCG Europe Seventh Meeting, Basel

Date 24/10/2014

The FSB Regional Consultative Group for Europe held its seventh meeting on 24 October in Basel, Switzerland
CFTC Obtains Default Judgment Against Texas-Based Financial Robotics, Inc. For Fraudulent Forex Scheme - Federal Court Orders Defendant To Pay More than $3 Million In Restitution And A Monetary Penalty In CFTC Anti-Fraud Action

Date 24/10/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Lee H. Rosenthal of the U.S. District Court for the Southern District of Texas entered an Order of default judgment and permanent injunction against Defendant Financial Robotics, Inc. (FinRob), a Texas corporation. The court’s Order requires FinRob to pay restitution of $827,000 and a civil monetary penalty of $2,481,000. The Order also imposes permanent trading and registration bans against FinRob and prohibits it from violating provisions of the Commodity Exchange Act, as charged.