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Stephen Luparello Named As Director Of SEC’s Division Of Trading And Markets

Date 20/02/2014

The Securities and Exchange Commission today announced that it has named Stephen Luparello as director of its Division of Trading and Markets.
CFTC Revokes Registrations Of Colorado-Based Forex Company, Veruus Wealth Management, LLC

Date 20/02/2014

The U.S. Commodity Futures Trading Commission (CFTC) announced today that the CFTC has revoked the Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA) registrations ofVeruus Wealth Management, LLC (Veruus), a Colorado limited liability company located in Denver, Colorado.
Division Of Trading And Markets Acting Director John Ramsay To Leave SEC

Date 20/02/2014

The Securities and Exchange Commission today announced that John Ramsay, acting director of the Division of Trading and Markets, will leave the agency next month after three and a half years of leadership and service. Mr. Ramsay, who was appointed deputy director of the division in September 2010 and has served as acting director since December 2012, plans to return to the private sector. The SEC separately today named Stephen Luparello as the division’s director.
NZX Full Year 2013 Results Announcement

Date 20/02/2014

NZX today reported its full year financial results for the year ended 31 December 2013, which was a record year for Initial Public Offerings and equity trading activity.
CFTC Staff Issues No-Action Letter For Southwest Power Pool

Date 20/02/2014

The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Divisions of Clearing and Risk, Market Oversight, and Swap Dealer and Intermediary Oversight (Divisions) today issued a time-limited no-action letter to Southwest Power Pool.

Canadian Securities Regulators’ 2013 Enforcement Report Highlights Advanced Technologies To Combat Illegal Activities

Date 20/02/2014

The Canadian Securities Administrators (CSA) today released its sixth annual Enforcement Report that reveals the significant time and effort that Canadian securities regulators are investing in the development and implementation of on-line monitoring, cyber-surveillance technologies and various tools to support forensic investigations as a means to protect investors from fraudulent investments.
CFTC Seeks To Revoke Registration Of Introducing Broker iFinix Futures, Inc.

Date 20/02/2014

The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the registration of iFinix Futures, Inc. (iFinix), a registered independent Introducing Broker based in Plainview, New York. iFinix has also done business under the name Pro-Active Futures.
SEC Charges Three California Residents Behind Movie Investment Scam

Date 20/02/2014

The Securities and Exchange Commission today charged three California residents with defrauding investors in a purported multi-million dollar movie project that would supposedly star well-known actors and generate exorbitant investment returns.
TSX Markets: Top 20 Largest Consolidated Short Position Report - February 15, 2014

Date 20/02/2014

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending February 15, 2014.
CFTC Seeks To Revoke the Registrations Of Abdul Sultan Walji And His Company, Arista LLC, Based On Court’s Permanent Injunction Order Prohibiting Them From Committing Fraud And On Walji’s Conviction For Criminal Commodities Fraud

Date 20/02/2014

The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the registrations of Arista LLC (Arista), a registered Commodity Pool Operator with its principal place of business in Newport Coast, California, and its registered Associated Person, Abdul Sultan Walji (a/k/a Abdul Sultan Valji) of San Juan Capistrano, California.