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CFTC Files Action To Revoke Registration Of Commodity Trading Advisor Prestige Capital Advisors, LLC

Date 22/08/2013

The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the registration of Prestige Capital Advisors, LLC (Prestige) of Charlotte, North Carolina, as a Commodity Trading Advisor (CTA).
SEC Stops California Company With Misleading Registration Statement From Issuing Public Stock

Date 22/08/2013

The Securities and Exchange Commission today issued an order to stop an initial public offering (IPO) of a Los Angeles area company before its shares were sold to the public. In issuing its stop order against Counseling International, the Commission determined that the company’s registration statement contains false and misleading information.
Federal Court Enters $2.2 Million Default Judgment Order Against Florida-Based Global Precious Metals Trading Company And Its Owner, Michael Ghaemi, For Operating A Fraudulent Off-Exchange Precious Metals Scheme - Defendants Misappropriated Over $800,000 Of Customer Funds, Virtually All Of The Customer Funds Solicited And Accepted To Purchase Precious Metals

Date 22/08/2013

The U.S. Commodity Futures Trading Commission today announced that it obtained a federal court default judgment Order against Global Precious Metals Trading Company, LLC (GPMT) of Coral Gables, Florida, and its principal Michael Ghaemi of Miami, Florida, charged with running a fraudulent precious metals scheme and misappropriating customers’ funds (see CFTC Press Release 6587-13, May 13, 2013).
Nasdaq Halts Trading In Stocks And Options

Date 22/08/2013

Trading in thousands of stocks and options traded on Nasdaq was halted shortly after midday today.
S&P Dow Jones Indices Adds Two All Metals Sector Indices To The S&P GSCI Family

Date 22/08/2013

S&P Dow Jones Indices announced today the launch of the S&PGSCI® All Metals 3 Month Forward and S&P GSCI All Metals 3 Month Forward Capped Component. These Indices are designed to measure the precious and industrial meta l commodity markets while seeking to reduce negative roll yield in times of contango.

Christopher Fix, Chief Executive, Dubai Mercantile Exchange Shares Key Developments With Stakeholders At CME Offices

Date 22/08/2013

Christopher Fix, Chief Executive, Dubai Mercantile Exchange shares key developments with stakeholders at CME offices
ICE Link And Cetip Launch Post-Trade Solution For The Brazilian Bond Market - Brings Efficiency, Standardization And Operational Risk Mitigation

Date 22/08/2013

IntercontinentalExchange (NYSE: ICE), a leading operator of global markets and clearing houses, today announced that its post-trade workflow tool for the global credit default swap (CDS) market, ICE Link, is now available on Cetip's bond trading platform, Cetip|Trader. ICE Link provides operational efficiency to the post-trade workflow, making these activities faster, safer and more standardized.
FINRA Fines Morgan Stanley $1 Million And Orders Restitution Of $188,000 For Best Execution And Fair Pricing Violations In Customer Bond Transactions

Date 22/08/2013

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC $1 million and ordered $188,000 in restitution plus interest for failing to provide best execution in certain customer transactions involving corporate and agency bonds, and failing to provide a fair and reasonable price in certain customer transactions involving municipal bonds. The requirement to pay restitution is in addition to restitution that Morgan Stanley paid previously to customers for transactions covered by this settlement.
Program Trading Averaged 25.3 Percent Of NYSE Volume During Aug. 12-16

Date 22/08/2013

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Aug. 12-16.
NASDAQ Dividend Achievers Index ETFs List In Canada - Another Milestone In The Worldwide Expansion Of NASDAQ OMX Global Indexes

Date 22/08/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) is pleased to support the launch of two new Vanguard exchange-traded funds (ETFs) based on the NASDAQ Dividend Achievers Select Index. Listed on the Toronto Stock Exchange, the Vanguard U.S. Dividend Appreciation Index ETF (TSX:VGG) and the Vanguard U.S. Dividend Appreciation Index ETF (CAD-hedged) (TSX:VGH) are now available to investors in Canada.