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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.
Lucera Launches On-Demand Infrastructure For Global Electronic Trading - High-Performance Platform Offers Unparalleled Flexibility To Dramatically Reduce Infrastructure Cost, Speed Time To Market And Unlock New Revenue Sources

Date 20/02/2014

Lucera Financial Infrastructures today announced the availability of its high-performance infrastructure to power electronic trading by financial institutions and high-frequency trading (HFT) firms. The ground-breaking Lucera platform enables customers to accelerate time-to-market, high speed connections to marketplaces and exchanges, and reduce operational and regulatory risk while eliminating the capital expense of building and operating a real-time network of customer and exchange connectivity.
ISE And ISE Gemini Enhance Risk Management With Market-Wide Speed Bump

Date 20/02/2014

The International Securities Exchange Holdings, Inc. today announced that its exchanges ISE and ISE Gemini^TM have enhanced their risk management capabilities for market makers by implementing a Market Wide Speed Bump. The Market Wide Speed Bump improves risk management by limiting a market maker’s total exposure across a market. As part of the exchanges’ existing portfolio of risk management offerings, market makers are required to set risk thresholds for each options class they are quoting. The Market Wide Speed Bump is activated automatically if these thresholds are breached for multiple products within a specified time period, and all quotes for that market maker are then inactivated.
SEC Announces Initiative Directed At Never-Before Examined Registered Investment Advisers

Date 20/02/2014

The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been registered with the SEC for three or more years. OCIE previously announced that examining these advisers is a priority in 2014.