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SEC Announces Date For Annual Government-Business Forum On Small Business Capital Formation

Date 16/10/2014

The Securities and Exchange Commission today announced that it will hold its annual Government-Business Forum on Small Business Capital Formation at its Washington, D.C. headquarters on November 20.
Tom Tofte Named Senior National Bank Examiner

Date 16/10/2014

The Office of the Comptroller of the Currency today announced that it had designated Tom Tofte a Senior National Bank Examiner.
SEC’s FY 2014 Enforcement Actions Span Securities Industry And Include First-Ever Cases - New Investigative Approaches And Innovative Use Of Data And Analytical Tools Help Drive Successful Enforcement Year

Date 16/10/2014

The Securities and Exchange Commission today announced that in fiscal year 2014, new investigative approaches and the innovative use of data and analytical tools contributed to a very strong year for enforcement marked by cases that spanned the securities industry.
TMX Group Sets Trading And Clearing Records

Date 16/10/2014

TMX Group today announced that Montréal Exchange (MX) and the Canadian Depository for Securities (CDS) set new records on October 15, 2014.
SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading To Manipulate Closing Prices - First High Frequency Trading Manipulation Case

Date 16/10/2014

The Securities and Exchange Commission today sanctioned a New York City-based high frequency trading firm for placing a large number of aggressive, rapid-fire trades in the final two seconds of almost every trading day during a six-month period to manipulate the closing prices of thousands of NASDAQ-listed stocks. This marks the first high frequency trading manipulation case.

CFTC Staff Issues Extension Of Time-Limited No-Action Relief For Futures Commission Merchants From Requirement To Obtain An Acknowledgement Letter From Certain Depositories

Date 16/10/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today announced an extension of previous no-action relief where DSIO provided additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters from certain depositories. DSIO will provide no-action relief until December 31, 2014.
ACER Open Call - Organised Market Places Are Invited To Register With The Agency

Date 16/10/2014

The Agency is obliged to draw up and publish a list of organised market places upon entry into force of the REMIT implementing acts. The list will be published for the identification the organised market places with regard to transaction reporting under REMIT. Find out more here.
Liquidnet Strengthens Senior Team With Key Hires In London To Support Future Growth - Head Of Fixed Income Sales And Head Of Trading Coverage Appointed

Date 16/10/2014

Liquidnet, the global institutional trading network, today announced that it has further strengthened its fixed income team in Europe with the appointment of Jonathan Gray as Head of Fixed Income Sales. Reporting directly to Mark Pumfrey, CEO Liquidnet Europe and Constantinos Antoniades, Global Head of Fixed Income, Jonathan will be responsible for expanding the number of buy side institutions on the platform adding additional liquidity and supporting growth through the introduction of new asset classes.
Managed Funds Association - Remarks Of CFTC Chairman Timothy G. Massad

Date 16/10/2014

Thank you for inviting me to speak here today, and I thank Congressman Richard Baker for that kind introduction. I also want to acknowledge the work that the Managed Funds Association and its members have done. We appreciate your input on all of our issues and look forward to continuing to work with you.
CME Group Volume Reaches All-Time Daily High Of 39.6 Million Contracts On October 15 - Eurodollar Futures Nearly Doubles Prior Record With 11.5 Million Contracts Traded

Date 16/10/2014

CME Group, the world's leading and most diverse derivatives marketplace, reached a record high in single-day volume with 39,567,064 contracts traded across all asset classes on October 15, 2014, shattering the previous record of 26,947,300 contracts set on May 29, 2013.