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OSC Announces Market Structure Advisory Committee Members For 2013 – 2015

Date 20/09/2013

The Ontario Securities Commission (OSC) announced today the membership of the Market Structure Advisory Committee (MSAC) for the 2013 – 2015 term.
CFTC Issues Notices Of Temporary Registration As A Swap Execution Facility To trueEX, LLC And ICE Swap Trade, LLC

Date 20/09/2013

The U.S. Commodity Futures Trading Commission (CFTC or Commission) has approved the applications of trueEX, LLC (trueEX) and ICE Swap Trade, LLC (ICE Swap Trade) for temporary registration as swap execution facilities (SEF) pursuant to section 5h of the Commodity Exchange Act (CEA) and section 37.3(c) of the Commission’s regulations. trueEX is a Delaware limited liability company and is a wholly-owned subsidiary of trueEX Group LLC, a Delaware limited liability company. ICE Swap Trade is a Delaware limited liability company and is a wholly-owned subsidiary of IntercontinentalExchange, Inc., a Delaware corporation.
Boom, Boom, Out Go The Lights - Statement Of CFTC Commissioner Bart Chilton

Date 20/09/2013

On September 30th, at the stroke of midnight, our country will face a government shutdown unless a continuing resolution to fund it is adopted. That would be grave news for consumers.
FIF Capacity Statistics For August 2013: Two New Record Peaks: Deutsche Borse CEF Core Scoach And BATS Options MCASTPITCH AGG

Date 20/09/2013

This month’s bulletin from the Financial Information Forum (FIF) finds that SIAC OPRA was up 5% to 5,081,671 mps over the 1 second interval.
Opening Statement Of CFTC Commissioner Scott D. O’Malia, Chairman Of The CFTC Technology Advisory Committee, Washington, DC

Date 20/09/2013

I would like to welcome our TAC members, members of the Subcommittee on Automated and High Frequency Trading, and other guests. I thank you all for joining us here. Our discussion today will include three panels: (1) SDR data harmonization, (2) the Commission’s recently published Concept Release on automated trading, and (3) SEF registration and compliance, and MAT submissions.

SEC Charges Former Technology Company Executive For Role In Rajaratnam Insider Trading Scheme

Date 20/09/2013

The Securities and Exchange Commission today charged a former executive at a Massachusetts-based technology firm for illegally tipping non-public information about the company’s financial predicament as part of the insider trading scheme operated by now-imprisoned Galleon Management hedge fund founder Raj Rajaratnam.
Vienna Stock Exchange To Discontinue Derivatives Trading As Of March 2014

Date 20/09/2013

As of March 2014, the Vienna Stock Exchange will no longer offer trading in derivatives. This decision was taken at today’s meeting of the Supervisory Board of Wiener Börse AG.
TOM MTF Statistics Week 38, 2013

Date 20/09/2013

Click here to download the weekly statistics update of TOM MTF for week 38 - 2013.
CFTC Orders Foremost Trading LLC, An Introducing Broker, To Pay $400,000 For Supervision Violations

Date 20/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Foremost Trading LLC (Foremost), a registered Introducing Broker based in Geneva, Illinois, for failing to supervise diligently the handling of certain trading accounts by its officers, employees, and agents. The CFTC Order requires Foremost to pay a $400,000 civil monetary penalty and cease and desist from violating CFTC regulation 166.3, as charged.
SEC Charges Advisory Firm Owner And Stockbroker With Insider Trading Ahead of Merger Announcement By Pharmaceutical Firms

Date 20/09/2013

The Securities and Exchange Commission today charged the owner of a New York-based advisory firm with insider trading in his own account and client accounts based on non-public information in advance of a merger announcement by pharmaceutical companies.