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John J. Brennan, FINRA Board Of Governors, Lead Director - FINRA/University Of Maryland Center For Financial Policy Joint Conference On Market Fragmentation, Fragility And Fees, Washington D.C., September 16, 2014

Date 16/09/2014

Thank you, Jonathan, for that overly kind welcome.

It's always a treat to be at a gathering like this. One of the fine traditions of the investment business is how the cumulative effect of our work—the work of academics, regulators, and practitioners—has always been the driving force for evolution in market efficiency, effectiveness, and security. A conference like this is part of how that happens. You're here to discuss topics at the forefront of pressing issues affecting market integrity and investor confidence.

CME Group Statement

Date 16/09/2014

Today CME Group released the following statement regarding McKerr v. Board of Trade of the City of Chicago:

SEC Charges IT Employee At Law Firm With Insider Trading Ahead Of Merger Announcements

Date 16/09/2014

The Securities and Exchange Commission today charged an employee in an international law firm’s IT department with insider trading ahead of several mergers and acquisitions involving firm clients being advised on the deals.

CME Group Announces Open Interest Record For FX Futures And Options

Date 16/09/2014

CME Group, the world's leading and most diverse derivatives marketplace, announced record open interest in its Foreign Exchange complex for Sept. 15, 2014. 

NYSE Arca Resumes Trading Of Three Barclays ETNs (Symbols: AYT, JEM, And PGD)

Date 16/09/2014

NYSE Regulation, Inc. (“NYSE Regulation”) announced today that a trading halt in the following NYSE Arca listed securities was implemented pursuant to NYSE Arca Rule 5.2(j)(6) in view of the fact that the applicable Reference Asset values were not currently being disseminated as frequently as required.

Statement Of CFTC Chairman Tim Massad On The Dismissal Of The Cross Border Lawsuit

Date 16/09/2014

U.S. Commodity Futures Trading Commission Chairman Tim Massad made the following statement on the dismissal of the Cross Border Lawsuit.

SEC And SBA To Partner On Events On Small Business Capital Raising Under The Jumpstart Our Business Startups (JOBS) Act

Date 16/09/2014

The Securities and Exchange Commission, in partnership with the U.S. Small Business Administration, announced today they will jointly host events to inform small business owners and entrepreneurs about new options that are and will become available for capital raising under the Jumpstart Our Business Startups (JOBS) Act.

CFTC Charges Ohio Resident Glen Galemmo With Commodity Pool Fraud In A Multi-Million Dollar Ponzi Scheme - CFTC Alleges That Galemmo Solicited At Least $116 Million From Pool Participants And Only Deposited Approximately $4.7 Million Of The Funds Into Futures Accounts

Date 16/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint against Defendant Glen Galemmo of Cincinnati, Ohio, charging him with operating a multi-million dollar Ponzi scheme through his firm, QFC, LLC, from February 18, 2010 through at least July 17, 2013.

Solarflare Intelligent Network I/O Platform Powers SBI Japannext World-Class Trading System - Networking Leader Expands Customer Base In Asia Pacific Region With Addition Of Japan’s Second-Largest Trading Market

Date 16/09/2014

Solarflare, the leader in application-intelligent 10/40 Gigabit Ethernet (10/40GbE) technology, today announced SBI Japannext – Japan’s second-largest trading market – has deployed Solarflare’s intelligent network I/O software and hardware to provide best-in-class trading technology to their customers. As a result, Japannext customers can now benefit from the improved performance and reduced latency delivered by Solarflare’s technology.

SEC Sanctions 19 Firms And Individual Trader For Short Selling Violations In Advance Of Stock Offerings

Date 16/09/2014

The Securities and Exchange Commission today announced the latest sanctions in a continuing enforcement initiative uncovering certain hedge fund advisers and private equity firms that have illegally participated in an offering of a stock after short selling it during a restricted period.