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SEC Announces Charges In Alleged Gold Mining Investment Scheme

Date 16/12/2014

The Securities and Exchange Commission today announced charges against two individuals and their companies behind an alleged gold mining investment scheme based in Miami.
CFTC Announces Departure Of DSIO Director Gary Barnett

Date 16/12/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Gary Barnett, Director of the Division of Swap Dealer and Intermediary Oversight (DSIO), will depart the agency in January to take a senior position at the U.S. Securities and Exchange Commission (SEC). CFTC Chairman Tim Massad also announced today that Tom Smith, currently Deputy Director for DSIO’s Capital, Margin and Segregation Branch (CMS Branch), will become Interim Director for DSIO upon Mr. Barnett’s departure.
MIAX Regulatory: New Equity Rights Program For 2015

Date 16/12/2014

The Exchange filed for immediate effectiveness to implement an equity rights program pursuant to which units representing the right to acquire equity in the Exchange’s parent holding company, Miami International Holdings (“MIH”) would be issued to a participating Member in exchange for payment of an initial purchase price or the prepayment of certain transaction fees and the achievement of certain volume thresholds on the Exchange over a 23 month period.
Federal Court Orders Missouri Resident Daniel K. Steele And His Missouri Company, Champion Management International, LLC, To Pay over $2.5 Million In Monetary Sanctions - Order Also Requires Relief Defendant Judy D. Steele To Disgorge Ill-Gotten Gains

Date 16/12/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that the Honorable Ronnie L. White of the U.S. District Court for the Eastern District of Missouri entered a Consent Order for permanent injunction against Defendants Daniel K. Steele and Champion Management International, LLC, (Champion Management), a Missouri limited liability company. The Court’s Order requires Defendants jointly to pay $1,544,722.81 in restitution to defrauded investors, imposes a $1 million civil monetary penalty, and requires Relief Defendant Judy D. Steele to disgorge ill-gotten gains totaling $187,083.58. The Order also imposes a permanent trading and registration ban on the Defendants and prohibits them from further violations of the anti-fraud provisions of the Commodity Exchange Act (CEA), as charged.
SEC Announces Charges Against Owner Of Equity Research Firm Accused Of Manipulative Trading

Date 16/12/2014

The Securities and Exchange Commission today announced charges against a Phoenix-based equity research firm owner who allegedly manipulated the market for a publicly traded stock he was soliciting investors to purchase.

Moscow Exchange: Changes In The Minimum Initial Margin In The Derivatives Market

Date 16/12/2014

Minimum initial margin in the Derivatives market for USD/RUB, EUR/RUB Exchange rate, RTS index, MICEX index Russian Federation government bonds futures is increasing:
FINRA Fines Merrill Lynch $1.9 Million And Orders Restitution Of $540,000 For Fair Pricing And Supervisory Violations Related To Purchases Of Distressed Securities

Date 16/12/2014

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations in connection with more than 700 retail customer transactions in distressed securities over a two-year time period. Merrill Lynch was also ordered to pay more than $540,000 in restitution, plus interest, to affected customers.
CBOE, C2 and CFE Trading Schedule For The Christmas And New Year’s Holidays

Date 16/12/2014

CBOE Holdings, Inc. (NASDAQ: CBOE) announced the following trading schedule for Chicago Board Options Exchange (CBOE), C2 Options Exchange (C2) and CBOE Futures Exchange (CFE) in observance of the Christmas and New Year’s holidays:
Eze Software Group Redefines Front-Office Technology With Advanced Integration Between Its EMS And OMS - Combined Feature Set Brings Together Advanced Trading And Compliance Workflows

Date 16/12/2014

Eze Software Group, a premier provider of global investment technology, today announced that they have completed an advanced integration between their best-of-breed execution management system (EMS) and order management system (OMS), combining critical trading and compliance workflows across its front-to-back product suite. With this latest development, users can benefit from the advanced trading tools available in RealTick EMS while also taking advantage of important Eze OMS features such as fully integrated compliance, position checking, and automated allocations.
CFTC Staff Issues Time-Limited No-Action Relief From Certain Recordkeeping Requirements Under Commission Regulation 1.35(A)

Date 16/12/2014

The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight today issued a no-action letter providing relief from certain recordkeeping requirements under Commission Regulation 1.35(a).