News Centre

New York Attorney General Eric T. Schneiderman Announces Takedown Of Identity-Theft Ring Targeting Bank Customers Across NYC And Surrounding Counties - Bank Tellers Charged With Accessing Records And Stealing Personal Information - Hundreds Of Thousands Of Dollars Stolen From Personal Bank Accounts Of Innocent Customers - Schneiderman: Bank Tellers Have Access To Our Most Sensitive Financial Information And We Must Be Able To Trust That Our Data Will Remain Safe And Secure

Date 16/09/2014

Attorney General Eric T. Schneiderman today announced the arrest and indictment of five individuals for running an alleged identity-theft ring targeting customers of local banks. The defendants stole over $850,000 by having bank tellers access and steal personal information of hundreds of unsuspecting customers – account numbers and Social Security numbers, for example – and use it to withdraw money from those accounts, according to today’s allegations. The tellers indicted today worked for branches of Bank of America, JP Morgan Chase, HSBC, TD Bank and Wachovia in the Bronx, and Westchester and Orange Counties among others.

Completing The Journey: Women As Directors Of Public Companies, SEC, Chair Mary Jo White, Sept. 16, 2014

Date 16/09/2014

I. Opening

Good morning and thank you, Susan Ness, for that kind introduction.    The work that SAIS does to increase the presence of women in corporate boardrooms is critically important and it is my honor to address you today.

CFTC Revokes Registrations Of S.A.C. Capital Advisors, L.P. And S.A.C. Capital Advisors, LLC Based On Criminal Action

Date 16/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a Notice of Intent to Revoke the Registrations (Notice) ofS.A.C. Capital Advisors, LLC (SAC LLC), a Delaware Limited Liability Company, and S.A.C. Capital Advisors, L.P. (SAC LP), a Delaware Limited Partnership. The CFTC simultaneously issued an Opinion and Order (Order) accepting the offer of settlement from SAC LLC and SAC LP and settling the action. The Order immediately revoked SAC LLC’s registrations with the CFTC as a Commodity Trading Advisor (CTA) and Commodity Pool Operator (CPA). The Order also revoked effective December 31, 2015, SAC LP’s registrations as a CTA and CPO. Consistent with a previously issued Order of the Securities and Exchange Commission, SAC LP’s activities as a CTA and CPO are immediately restricted under the Order to certain “side pocket” investments that are not available for immediate redemption. Additionally, pursuant to the Order, an affiliate of SAC LP and SAC LLC, S.A.C. Capital Management, LLC, will immediately cease engaging in any activity requiring registration as a CPO or CTA.

SEC Obtains Asset Freeze Against Company In Turks And Caicos Islands Behind South Florida-Based Ponzi Scheme

Date 16/09/2014

The Securities and Exchange Commission today announced an emergency asset freeze against a company located in Turks and Caicos Islands in connection with its operation of a South Florida-based Ponzi scheme.

CBOE And C2 Plan To List Options On Alibaba Group Holding Limited (BABA)

Date 16/09/2014

CBOE Holdings, Inc. (NASDAQ: CBOE) announced today that the Chicago Board Options Exchange (CBOE) and C2 Options Exchange (C2) plan to list options on Alibaba Group Holding Limited (ticker symbol: BABA) beginning on Monday, September 29, 2014, contingent on BABA  meeting new options listing criteria.

John J. Brennan, FINRA Board Of Governors, Lead Director - FINRA/University Of Maryland Center For Financial Policy Joint Conference On Market Fragmentation, Fragility And Fees, Washington D.C., September 16, 2014

Date 16/09/2014

Thank you, Jonathan, for that overly kind welcome.

It's always a treat to be at a gathering like this. One of the fine traditions of the investment business is how the cumulative effect of our work—the work of academics, regulators, and practitioners—has always been the driving force for evolution in market efficiency, effectiveness, and security. A conference like this is part of how that happens. You're here to discuss topics at the forefront of pressing issues affecting market integrity and investor confidence.

CME Group Statement

Date 16/09/2014

Today CME Group released the following statement regarding McKerr v. Board of Trade of the City of Chicago:

SEC Charges IT Employee At Law Firm With Insider Trading Ahead Of Merger Announcements

Date 16/09/2014

The Securities and Exchange Commission today charged an employee in an international law firm’s IT department with insider trading ahead of several mergers and acquisitions involving firm clients being advised on the deals.

CME Group Announces Open Interest Record For FX Futures And Options

Date 16/09/2014

CME Group, the world's leading and most diverse derivatives marketplace, announced record open interest in its Foreign Exchange complex for Sept. 15, 2014. 

NYSE Arca Resumes Trading Of Three Barclays ETNs (Symbols: AYT, JEM, And PGD)

Date 16/09/2014

NYSE Regulation, Inc. (“NYSE Regulation”) announced today that a trading halt in the following NYSE Arca listed securities was implemented pursuant to NYSE Arca Rule 5.2(j)(6) in view of the fact that the applicable Reference Asset values were not currently being disseminated as frequently as required.