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  • CFTC Releases Latest Quarterly Data On Commodity Index Investment

    Date 30/10/2009

    Swap dealers and index traders that receive a “special call” (under CFTC Rule 18.05) must file monthly reports with the CFTC's Division of Market Oversight within 5 business days after the end of the month. Selected quarterly data from those reports is published below. Those data show the national values and the equivalent number of futures contracts for all U.S. markets with more than $0.5 billion of reported net notional value of index investment at the end of any one quarter.

  • SEC Fee Rate Advisory #3 For Fiscal Year 2010

    Date 30/10/2009

    The continuing resolution funding the Securities and Exchange Commission for fiscal year 2010 since Oct. 1, 2009, is being extended through Dec. 18, 2009. During this period, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) the Securities Exchange Act of 1934 will remain at the current rate of $55.80 per million dollars, while fees paid under Section 31 of the Securities Exchange Act of 1934 will remain at the current rate of $25.70 per million dollars.

  • Federal Court Freezes Assets Of Moroccan Resident Richmond Hamilton, Jr., And The Chicago Commodity Pool He Manages In A $1 Million Pool Anti-Fraud Case Brought By The CFTC - Court Appoints A Receiver To Indentify Assets And Funds Owed Customers

    Date 30/10/2009

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained an emergency court order freezing assets held by defendants Raleigh Capital Management, Inc. (RCM), of Chicago, Ill., and its sole principal, Richmond Hamilton, Jr., who resides in Morocco. The court’s order also prohibits the destruction of records and appoints a receiver to identify assets, customers and amounts owed customers.

  • SEC Charges Former CFO And Six Relatives And Friends In California-Based Insider Trading Ring

    Date 30/10/2009

    The Securities and Exchange Commission today charged the former chief financial officer of a San Francisco private investment firm and six of his relatives and friends with insider trading, alleging that their scheme collectively reaped more than $8 million in illicit profits from unlawful trades in the securities of Tempur-pedic International, Inc. and Acxiom Corporation.

  • UBS AG Lists The UBS E-TRACS Dow Jones-UBS Commodity Index Total Return ETN On NYSE Arca

    Date 30/10/2009

    NYSE Euronext (NYX) announced that its wholly-owned subsidiary, NYSE Arca, began trading the UBS E-TRACS Dow Jones-UBS Commodity Index Total Return ETN (NYSE Arca: DJCI) on Thursday, October 29, 2009. Issued by UBS AG, the ETN is designed to track the performance of the DJ-UBS Commodity Index Total Return (the “Index”), less investor fees. 

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