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CFTC Staff Re-Issues Frequently Asked Questions On Commodity Options
Date 28/02/2014
In an effort to address questions the U.S. Commodity Futures Trading Commission (Commission) has received regarding the Trade Option Form (Form TO) filing process and the circumstances which trigger the filing requirement, today the Division of Market Oversight (DMO) is re-issuing the Frequently Asked Questions (FAQs) document on this topic. This FAQs document was originally issued by DMO in September 2013.
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CFTC: Federal Court Orders Arizona Resident Ray Thomas Brown To Pay Over $1.2 Million For Solicitation Fraud And Misappropriation In Operating Two Commodity Scams
Date 28/02/2014
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Frederick J. Martone of the U.S. District Court for the District of Arizona granted the CFTC’s motion for summary judgment and entered an Order of permanent injunction against Defendant Ray Thomas Brown, of Phoenix, Arizona. The Order imposes permanent trading and registration bans against Brown and requires him to pay restitution and disgorgement totaling $1,131,941.98 and a civil monetary penalty of $140,000.
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SEC Fee Rate Advisory #4 For Fiscal Year 2014
Date 28/02/2014
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2014 is not required.
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BATS 1000 Index Rises 1.1% This Week
Date 28/02/2014
BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) rose 238.21 points this week to close at 20,982.12 as of the 4 p.m. ET market close today.
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Preliminary Report On Foreign Holdings Of U.S. Securities At End-June 2013
Date 28/02/2014
Preliminary data from a survey of foreign portfolio holdings of U.S. securities at the end of June 2013 were released today on the Treasury website at http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx. Final survey results, which will include additional detail as well as possible revisions to the preliminary data, will be reported on April 30, 2014. The survey was undertaken jointly by Treasury, the Federal Reserve Bank of New York, and the Board of Governors of the Federal Reserve System. The next survey will cover holdings at the end of June 2014; preliminary data are expected to be released by February 28, 2015.
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MIAX Options Exchange: Amendment To The MIAX Options Regulatory Fee Beginning April 1, 2014
Date 28/02/2014
The MIAX Regulatory Circular, MIAX_RC_2014_09, refers to the MIAX Options Exchange fee amendment to the Options Regulatory Fee beginning April 1, 2014.
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CFTC Commitments Of Traders Reports Update
Date 28/02/2014
The current reports for the week of February 25, 2014 are now available.
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Nigerian Stock Exchange Weekly Report For The Week Ended 28 February 2014
Date 28/02/2014
A turnover of 1.809 billion shares worth N26.698 billion in 25,342 deals were traded this week by investors on the floor of The Exchange in contrast to a total of 6.973 billion shares valued at N24.439 billion that exchanged hands last week in 27,633 deals.
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CFTC Obtains Default Judgment Against Altamont Global Partners LLC And John G. Wilkins For Commodity Pool Fraud, Misappropriation, And Making False Statements To National Futures Association - U.S. District Court In Florida Orders Defendants To Pay More Than $15.8 Million In CFTC Anti-Fraud Action
Date 28/02/2014
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Gregory A. Presnell of the U.S. District Court for the Middle District of Florida entered a default judgment and permanent injunction Order against Defendants Altamont Global Partners LLC (AGP) of Longwood, Florida, and its owner, John G. Wilkins, formerly of Chuluota, Florida. The Order requires AGP to pay $10,969,843 in disgorgement and Wilkins to pay $1,214,902 in disgorgement and a $3,644,706 civil monetary penalty. The Order also imposes permanent trading and registration bans against them and prohibits them from violating the Commodity Exchange Act and a CFTC regulation, as charged.
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Direct Edge Trading Notice #14-08: EDGA & EDGX Fee Schedule Changes
Date 28/02/2014
Effective Monday, March 3, 2014, EDGA ExchangeSM (EDGA®) and EDGX ExchangeSM (EDGX®) will make the following fee schedule changes, pending filing with the Securities and Exchange Commission (SEC).
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