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CFTC: Former Floor Broker John Lee Neuman Permanently Banned From Trading For Fraud And Unauthorized Trading

Date 30/08/2010

The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled fraud and unauthorized trading charges against former floor broker John Lee Neuman of Naperville, Ill. Neuman was registered with the CFTC as a floor broker from May 1993 until February 2008 and is currently not registered with the CFTC in any capacity.
Brian Breheny, Deputy Director In Division Of Corporation Finance, To Leave After Seven Years At SEC

Date 30/08/2010

The Securities and Exchange Commission announced today that Brian V. Breheny, the Deputy Director for Legal and Regulatory Policy in the Division of Corporation Finance, will depart the agency after more than seven years of public service.
Terrence R. Pipenhagen Of Orlando, Fla. And His Two Companies To Pay $150,000 Penalty To Settle CFTC Fraud Charges - Pipenhagen, TRP Advisory Group, Inc. And Traders East, Inc. Also Are Permanently Barred From Trading.

Date 30/08/2010

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of fraud charges against Terrence R. Pipenhagen of Orlando, Fla. and his companies, TRP Advisory Group, Inc. (TRP) and Traders East, Inc. (TEI), for issuing false statements to customers to conceal commodity futures trading losses. Pipenhagen has never been registered with the CFTC.
SIFMA Submits Comments To SEC On Obligations Of Brokers And Advisers - Calls For Uniform Standard That Preserves Individual Investor Choice

Date 30/08/2010

The Securities Industry and Financial Markets Association (SIFMA) today submitted comments to the Securities and Exchange Commission (SEC) in advance of its study on the obligations of investment advisers and broker dealers.
Christopher R. Conte, Associate Director Of Enforcement, To Leave After Nearly 18 Years At SEC

Date 30/08/2010

The Securities and Exchange Commission today announced that Christopher R. Conte, an Associate Director in the Division of Enforcement, will leave the SEC next month after nearly 18 years of public service at the agency.

Protalix BioTherapeutics To Dual List On Tel Aviv Stock Exchange

Date 30/08/2010

Common Stock to List on both Tel Aviv Stock Exchange and the NYSE Amex Beginning Monday, September 6, 2010 under the Ticker Symbol PLX Company Anticipates Joining TASE’s TA-75, TA-100, Tel-Tech, Tel-Tech 15 and Biomed indexes beginning October 10, 2010
SEC: John Ramsay Named Deputy Director In Division Of Trading And Markets

Date 30/08/2010

The Securities and Exchange Commission today announced that John Ramsay has been named a Deputy Director in the Division of Trading and Markets.
BATS 1000 Index Declines 0.4% On Week - Utilities And Energy Sectors Advance, All Other Sectors Decline In US Equities Benchmark

Date 30/08/2010

BATS Exchange’s BATS 1000SM Index (BATSK) was down 0.4% for the week ending August 27, compared to a decline of 0.7% for the S&P 500 Index.
Bloomberg Tradebook Forges Dark Pool Transparency Agreements - B-Dark Is First Algorithm To Offer Real-Time Venue Transparency In Dark Pools

Date 30/08/2010

Bloomberg Tradebook, a leading global agency broker, today announced exclusive arrangements with leading industry dark liquidity providers to deliver full transparency and visibility of dark pool executions.
CME Group To Offer Customers Exposure To Benchmark U.S. Treasury Securities

Date 30/08/2010

CME Group, the world's leading and most diverse derivatives marketplace, announced the launch of On-the-Run U.S. Treasury futures beginning Monday, October 25, 2010. These new futures contracts will provide market participants with efficient and cost-effective price exposure to 2-Year, 5-Year, and 10-Year U.S. Treasury on-the-run yields. The new contracts will be listed with, and subject to, the rules and regulations of the CBOT.