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  • SEC Charges ConvergEx Subsidiaries With Fraud For Deceiving Customers About Commissions

    Date 18/12/2013

    The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global trading services provider that caused many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders. 

  • Remarks At SEC Open Meeting - Promoting Investor Protection In Small Business Capital Formation - SEC Commissioner Luis A. Aguilar, U.S. Securities and Exchange Commission, Washington, D.C., Dec. 18, 2013

    Date 18/12/2013

    Today, the Commission proposes rules to implement Title IV of the JOBS Act. As mandated by that Act, the proposed rule would allow companies to issue a class of securities that are exempted from the registration and prospectus requirements of the Securities Act, provided that certain conditions are met. This is the third major rulemaking undertaken by the Commission to comply with the JOBS Act since its adoption last year.

  • CBOE Holdings Announces Date Of Fourth-Quarter 2013 Earnings Release And Conference Call

    Date 18/12/2013

    CBOE Holdings, Inc. (NASDAQ: CBOE) will announce financial results for the fourth quarter of 2013 before the market opens on Friday, February 7, 2014.  A conference call with remarks by CBOE Holdings, Inc. senior management will begin at 7:30 a.m. Central Time.  A presentation will be referenced during the call and will be available on the Investor Relations section of our website at http://ir.cboe.com under Events and Presentations.

  • Central Securities Depositaries: Commissioner Barnier Welcomes Provisional Agreement In Trilogue

    Date 18/12/2013

    "I welcome the provisional agreement reached this morning between the European Parliament and the EU Member States on new rules on securities settlement and central securities depositaries (CSDs) in the EU. Settlement is a very important process for securities markets and for the financing of our economy. The numbers speak for themselves: in the European Union, transactions worth over one quadrillion euro were settled by CSDs in last two years. This agreement will ensure that settlement is carried out in a safer and more efficient manner. I would like to thank the European Parliament, especially the rapporteur, Kay Swinburne, and the shadow rapporteurs; and the Council especially the Lithuanian Presidency and the previous Irish, Cypriot and Danish Presidencies for their work on reaching this agreement. I hope that the remaining technical work can be finalised as soon as possible under the Greek Presidency so that these new rules can be formally adopted by the co-legislators."

  • Federal Court In Florida Orders More Than $8 Million In Sanctions Against Defendants Philip Leon And Paul Rangel For Commodity Pool Fraud And Misappropriation - In A Parallel Criminal Action, Leon Pleaded Guilty To Mail And Wire Fraud

    Date 18/12/2013

    The U.S. Commodity Futures Trading Commission (CFTC) obtained federal court Orders requiring Defendants Philip Leon, of Altamonte Springs, Florida, to pay a $4 million civil monetary penalty and $1,598,343 in disgorgement and Paul Rangel, of Apopka, Florida, to pay a $1.7 million civil monetary penalty and $819,781 in disgorgement to settle CFTC charges related to a fraudulent commodity pool scheme. The consent Orders of permanent injunction, both entered on December 17, 2013 by Judge Gregory A. Presnell of the U.S. District Court for the Middle District of Florida, also impose permanent trading and registration bans against Leon and Rangel and prohibit them from violating provisions of the Commodity Exchange Act and a CFTC Regulation, as charged.

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