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CFTC Commitments Of Traders Reports Update
Date 12/07/2013
The updated current reports for the week of July 9, 2013 are now available.
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TSX And TSXV Trading List Leaders By Volume And By Values - June 2013
Date 12/07/2013
Trading List Leaders
The Top 10 brokers chosen by their customers to execute their trades, measured by Volume and Value of securities traded. Compiled from data in the TMX Datalinx Attributed Trading Summaryreport. All figures as of month-end and do not include post trade-date corrections.
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CFTC Obtains Default Judgment And Permanent Injunction Against California Resident Michael J. Leighton For Defrauding Commodity Pool Participants - Court Orders Leighton To Pay Over $2.3 Million In Sanctions And Restitution And Permanently Bars Him From The Commodities Industry
Date 12/07/2013
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Philip S. Gutierrez of the U.S. District Court for the Central District of California entered an Order of Default Judgment and Permanent Injunction against Michael J. Leighton of Torrance, California. The Order, entered on July 8, 2013, stems from a CFTC enforcement action filed on May 8, 2012 charging Leighton with solicitation fraud and issuing false statements in connection with the operation of a commodity trading pool (see CFTC Release 6256-12).
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TOM MTF Statistics Week 28, 2013
Date 12/07/2013
Click here to download the weekly statistics update of TOM MTF for week 28 - 2013.
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European Commission's Reaction On The Comparison Of The Single Resolution Mechanism For Banks With The Nazi Regime
Date 12/07/2013
The European Commission has certainly no intention of responding to such an inappropriate analogy or of taking part in a polemic of this nature.
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Results Of The June 2013 European Central Bank Survey On Credit Terms And Conditions In Euro-Denominated Securities Financing And OTC Derivatives Markets
Date 12/07/2013
The European Central Bank (ECB) is today publishing a report on the results of the June 2013 qualitative survey on credit terms and conditions in euro-denominated securities financing and over-the-counter (OTC) derivatives markets (SESFOD). The survey is conducted four times a year, covering changes in credit terms and conditions over the three-month reference periods ending in February, May, August and November.
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CFTC Charges Texas-Based RFF GP, LLC, KGW Capital Management, LLC, And Kevin G. White With Commodity Pool Fraud - Federal Court Issues Emergency Order Freezing Assets And Protecting Books And Records
Date 12/07/2013
The U.S. Commodity Futures Trading Commission (CFTC) today announced that the U.S. District Court for the Eastern District of Texas entered an emergency Order freezing and preserving the remaining pool participants’ assets under the control of Defendants RFF GP, LLC (RFF GP), KGW Capital Management, LLC (KGW Capital), and Kevin G. White, and Relief Defendants Revelation Forex Fund, LP, Meridian Propane LP, and W Corporate Real Estate, LP (d/b/a KGW Real Estate), all of Plano, Texas. The Order also prohibits defendants and relief defendants from destroying books and records, grants the CFTC immediate access to those records, and appoints a temporary receiver to protect pool participants’ funds.
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SEC Halts Texas-Based Forex Trading Scheme
Date 12/07/2013
The Securities and Exchange Commission today announced an emergency asset freeze against an unregistered money manager and his companies in Plano, Texas, who are charged with defrauding investors in a foreign currency exchange trading scheme.
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Direct Edge Trading Notice #13-31: Limit Up-Limit Down Saturday Test
Date 12/07/2013
In coordination with other exchanges and market participants, Direct Edge® will participate in industry–wide testing for Limit Up-Limit Down (LULD) on Saturday, July 13, 2013. Members are encouraged to participate to ensure their systems are prepared for the implementation of Phase 2 of LULD, which is currently scheduled to be effective on Monday, August 5, 2013.
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Remarks At Society Of Corporate Secretaries & Governance Professionals By SEC Commissioner Daniel M. Gallagher
Date 12/07/2013
Thank you Bob [Lamm] for your very kind introduction. I am delighted to be able to participate in this conference and to address so many of the governance professionals who are on the front lines dealing with the myriad of mandates set forth in federal and state laws and regulations. In addition to engaging with shareholders, drafting disclosure documents, and dealing with the everyday fire drills that occur at your companies, you and your teams ensure that board members and management have the appropriate knowledge and resources to properly discharge their duties. This is a full day’s work, which is why so many of you often end up doing board minutes at night. While much of the work you do may sometimes seem thankless, the importance of your work is certainly not lost on me or, I hope, on your CEOs and boards.
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