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OM Financial Limited Accredited As An NZX Advising Firm

Date 20/09/2012

NZX is pleased to announce that New Zealand Futures and Options brokerage firm OM Financial Limited has been accredited as an NZX Advising Firm.
Knight EVP And CFO Steven Bisgay Adds Responsibility As Chief Operating Officer - Managing Director Brian Strauss Promoted To The Newly-Created Position Of Chief Risk Officer

Date 20/09/2012

Knight Capital Group, Inc. (NYSE Euronext: KCG) today announced that Executive Vice President and Chief Financial Officer Steven Bisgay has added responsibility as Chief Operating Officer, effective immediately.
SEC To Hold Annual Government-Business Forum On Small Business Capital Formation

Date 20/09/2012

The Securities and Exchange Commission today announced that it will hold its annual SEC Government-Business Forum on Small Business Capital Formation on November 15 at its Washington, D.C. headquarters.
Two Hedge Fund Managers Sentenced In New York To Three Year Prison Terms For Defrauding Investors Of Nearly $1 Million

Date 20/09/2012

Michael Katz and Christopher Fardella, two former hedge fund managers, were each sentenced yesterday to three years in prison for their roles in defrauding investors out of nearly $1 million, announced Preet Bharara, U.S. Attorney for the Southern District of New York. Katz and Fardella each pleaded guilty in October 2011 to one count of conspiracy to commit securities fraud and mail fraud and one count of securities fraud before U.S. District Judge Laura T. Swain, who also imposed today’s sentences.
SEC Charges Three In North Carolina With Insider Trading - Early Cooperator Receives Lesser Penalty

Date 20/09/2012

The Securities and Exchange Commission today charged a former member of the board of directors at a North Carolina-based insurance company with illegally tipping inside information about an impending merger.

CFTC Approves Application Of DTCC Data Repository, LLC For Provisional Registration As A Swap Data Repository

Date 20/09/2012

The U.S. Commodity Futures Trading Commission (CFTC) on September 19, 2012, approved the application of DTCC Data Repository, LLC for provisional registration as a swap data repository pursuant to section 21 of the Commodity Exchange Act and section 49.3(b) of the Commission’s regulations.
Working To Achieve The American Dream - Remarks To The Hispanic Bar Association Of The District Of Columbia By SEC Commissioner Luis Aguilar

Date 20/09/2012

I am very pleased be here among so many friends from the Hispanic Bar Association of the District of Columbia (“HBA-DC”). We gather to celebrate Hispanic Heritage Month — a time to recognize the rich contributions of Latinos to American history and culture.
SEC Slide Presentation: Update From The Division Of Corporation Finance, 2012 AICPA National Conference On Banks & Savings Institutions

Date 20/09/2012

Click here to download a presentation by Stephanie Ciboroski, Senior Assistant Chief Accountant and Mark Shannon, Associate Chief Accountant; Washington, D.C.; on September 12, 2012.
SEC Freezes Assets Of Insider Trader In Burger King Stock

Date 20/09/2012

The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a stockbroker who used nonpublic information from a customer and engaged in insider trading ahead of Burger King’s announcement that it was being acquired by a New York private equity firm.
Four New Record Peaks: BATS CHI-X Europe CXE PITCH, Direct Edge EDGX, NYSE AMEX Options And Deutsche Börse CEF Core Eurex

Date 20/09/2012

This month’s bulletin from the Financial Information Forum (FIF) finds that BATS CHI-X Europe CXE PITCH was up a record 37% to 90,937 mps over the 1 second interval