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  • SEC Files Charges Seeking To Halt Recidivist And Associates In Scheme To Defraud Small Businesses

    Date 28/02/2018

    The Securities and Exchange Commission today charged three-time recidivist Steven J. Muehler with operating an unregistered broker-dealer, facilitating an unregistered securities offering, and defrauding small businesses, while promising to help them raise money from investors.  Three companies under Muehler’s control, Muehler’s wife, Claudia M. Muehler, and his associate, Koorosh “Danny” Rahimi, were also charged.  Because the scheme is ongoing, the SEC is also seeking a preliminary injunction to stop Muehler’s ongoing violations of the securities laws, pending trial of the action.

  • Nasdaq Files Annual Report On Form 10-K

    Date 28/02/2018

    On February 28, 2018, Nasdaq filed its annual report on Form 10-K for the fiscal year ended December 31, 2017 with the U.S. Securities and Exchange Commission (SEC). The Form 10-K can be accessed on Nasdaq’s website athttp://ir.nasdaq.com/sec.cfm and on the SEC's website at www.sec.gov.

  • Preliminary Report On Foreign Holdings Of U.S. Securities At End-June 2017

    Date 28/02/2018

    Preliminary data from the June 2017 benchmark survey of foreign portfolio holdings of U.S. securities were released today on the Treasury website at http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx.  Final survey results, which will include additional detail as well as possible revisions to the preliminary data, will be reported on April 30, 2018.  The survey was undertaken jointly by Treasury, the Federal Reserve Bank of New York, and the Board of Governors of the Federal Reserve System.  The next annual survey will cover holdings at the end of June 2018; preliminary data are expected to be released by February 28, 2019.

  • CME Group Global Head Of Commodity And Options Products To Present At Citi Conference

    Date 28/02/2018

    CME Group announced today that Derek Sammann, Senior Managing Director and Global Head of Commodity and Options Products will present at the Citi 2018 Asset Managers, Broker Dealers and Exchanges Conference in New York on Thursday March 1, at 8:45 a.m. (Eastern Time). 

  • CFTC Swaps Report Update

    Date 28/02/2018

    CFTC's Weekly Swaps Report has been updated, and is now available.