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  • FINRA Joins Exchanges And The SEC In Fining Hold Brothers More Than $5.9 Million For Manipulative Trading, Anti-Money Laundering, And Other Violations

    Date 25/09/2012

    The Financial Industry Regulatory Authority (FINRA), along with NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and BATS Exchange, Inc. today announced that they have censured and fined Hold Brothers On-Line Investment Services, LLC $3.4 million for manipulative trading activities, anti-money laundering (AML), and other violations. In a related case, the Securities and Exchange Commission (SEC) today announced a settlement with Hold Brothers, fining the firm more than $2.5 million.

  • SEC Charges N.Y.-Based Brokerage Firm With Layering

    Date 25/09/2012

    The Securities and Exchange Commission today charged a New York-based brokerage firm and three executives for allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled.

  • CFTC Seeks To Revoke Registrations Of Victor E. Cilli And His Company Progressive Investment Funds, LLC

    Date 25/09/2012

    The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a notice of intent to revoke the registrations of Victor E. Cilli and Progressive Investment Funds, LLC(PIF). PIF, based in Hackensack, N.J., is a registered Commodity Pool Operator. Cilli is a New Jersey resident registered as an Associated Person of PIF and is PIF’s sole principal.

  • TMX Group Names James Oosterbaan To Head NGX

    Date 25/09/2012

    TMX Group Limited today announced the appointment of James Oosterbaan as President of Natural Gas Exchange Inc. (NGX). NGX, a wholly-owned subsidiary of TMX Group, provides electronic trading, central counterparty clearing and data services to the North American natural gas and electricity markets. Mr. Oosterbaan will assume this position on November 1, 2012 and will be based in Calgary, Alberta.

  • ESMA Publishes A Q&A On KIID For UCITS

    Date 25/09/2012

    The purpose of this document is to promote common supervisory approaches and practices in the application of the UCITS Directive and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the UCITS framework.