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Date 18/10/2012
CFTC To Hold Open Meeting To Consider A Notice Of Proposed Rulemaking On Enhancing Customer Protections
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Thursday, October 25, 2012, at 1:00 p.m., to consider a Notice of Proposed Rulemaking on Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations.
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Date 18/10/2012
Program Trading Averaged 29.9 Percent Of NYSE Volume During Oct. 8-12
The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms' executed volume from NYSE's orders database. The report includes trading on the NYSE for Oct. 8-12.
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Date 18/10/2012
SEC Charges Trio In ".44 MAGNUM" Investment Scheme
The Securities and Exchange Commission today charged a purported money manager and two of his chief marketers with defrauding investors in a fake company he created that bore a similar name to what was formerly one of Germany's largest banks.
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Date 18/10/2012
Advanced Automation Will Bring Greater Efficiency To The Commission-Recapture Process, Says TABB Group
In new research published today, TABB Group says that recent advancements in automating low-touch trading are helping to ease institutional investors’ traditionally manual, often burdensome commission-recapture process.
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Date 18/10/2012
Semi-Annual Review Of The Athex Index Series
The ATHEX Indices Advisory Committee met today and approved the following changes in the composition of the ATHEX Indices:
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Date 18/10/2012
SEC: Hong Kong Firm To Pay $14 Million To Settle Insider Trading Charges
The Securities and Exchange Commission today announced that a Hong Kong-based firm charged with insider trading in July has agreed to settle the case by paying more than $14 million, which is double the amount of its alleged illicit profits. The proposed settlement is subject to the approval of Judge Richard J. Sullivan of the U.S. District Court for the Southern District of New York.
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Date 18/10/2012
FTSE/ATHEX Index Series - Semi Annual Review
The FTSE/ATHEX Index Advisory Committee met today to approve the semi review - which will be implemented after the close of business on the last Friday of November 2012 -, in line with the new index structure of the FTSE/ATHEX Index Series.
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Date 18/10/2012
FINRA Expels EKN Financial Services For Defying SEC Order And For Numerous Compliance Violations - CEO Barred - Former President Fined And Suspended
The Financial Industry Regulatory Authority (FINRA) today announced that it has expelled EKN Financial Services, Inc. of Melville, NY, for numerous compliance violations and for allowing its CEO, Anthony Ottimo, to act as a supervisor after being barred from acting in that capacity by the Securities and Exchange Commission (SEC) in June 2008. FINRA barred Ottimo from the securities industry and barred the firm's former President, Thomas Giugliano, from acting in a principal capacity, suspended him from the securities industry for one year and fined him $150,000. EKN, through Ottimo and Giugliano, also violated numerous NASD/FINRA and SEC rules and federal securities laws, including anti-money laundering (AML) violations, net capital deficiencies and widespread reporting failures.
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Date 18/10/2012
Exercise Of Ibovespa Options Generates BRL 4.04 Billion Financial Volume On BM&FBOVESPA
The exercise of options on the BOVESPA Index (Ibovespa) generated BRL 4.04 billion yesterday, with 68,380 contracts traded. Of the volume exercised, BRL 1.13 billion was in put options and BRL 2.9 billion in call options.
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Date 18/10/2012
Xetra/FWB: SAF-HOLLAND S.A. Bond Subscription Ends Early
The subscription period for the SAF-HOLLAND S.A. bond (ISIN: DE000A1HA979), – which is to be included in the Prime Standard for corporate bonds– was closed successfully on its very first day. The total volume of 75 million € was already able to be placed on the market by late morning on the first day of subscription. Also private investors used the signing functionality via the XETRA-signing tool. The subscription was originally supposed to run until 26 October.
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