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CFTC: Federal Court Orders Oregon-based System Capital, LLC And Its President Joshua Wallace To Pay $840,000 For Solicitation Fraud And Making False Statements To The National Futures Association - In A Related Criminal Action, Wallace Pled Guilty To Criminal Commodities Fraud
Date 20/03/2013
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Katherine B. Forrest of the U.S. District Court for the Southern District of New York entered a default judgment and permanent injunction Order against Defendants System Capital, LLC (System Capital) and its founder and president, Joshua Wallace, both of Lake Oswego, Oregon. The Order requires System Capital and Wallace to each pay a $420,000 civil monetary penalty, imposes permanent trading and registration bans against them, and prohibits them from violating the Commodity Exchange Act, as charged.
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Slide Presentation (PDF): SEC Staff Review Of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums On Auditing In The Small Business Environment
Date 20/03/2013
Click here to download the slide presentation od the SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums on Auditing in the Small Business Environment.
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CBOE's VIX Options Establish New Single-Day Volume Record
Date 20/03/2013
Chicago Board Options Exchange® (CBOE®) today reported that options on the CBOE Volatility Index® (VIX® index) established an all-time, single-day volume record, totaling an estimated 1,392,621 contracts. Today's VIX options volume beat the previous record of 1,388,634 contracts traded on February 26, 2013.
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Direct Edge Trading Notice #13-12: Physical Connectivity Fee Changes Effective May 1, 2013
Date 20/03/2013
Direct Edge® will increase fees for EdgeLink®, our direct circuit connectivity service to EDGA Exchange (EDGA®) and EDGX Exchange (EDGX®), pending filing with the Securities and Exchange Commission.
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See The New Rules And Trading Hours For Options In The BOVESPA Segment
Date 20/03/2013
As of this Wednesday (March 20, 2013), new rules come into effect for options trading in the BOVESPA segment.
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Remarks Of CFTC’s Chairman Gary Gensler Before The International Monetary Fund Conference
Date 20/03/2013
Good afternoon. Thank you, José, for the kind introduction. I also want to thank the International Monetary Fund and Christine Lagarde for the invitation to speak today at your conference on commodity markets.
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ESMA Publishes An Opinion On The Framework For The Assessment Of Third Country Prospectuses And An Update To The CESR Recommendations On The PD
Date 20/03/2013
This opinion explains a framework for third country share prospectuses under Article 20 and sets out the role of the EU Member States’ competent authorities in scrutinising prospectuses under these arrangements.
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UK's Financial Services Authority: Fyshe Horton Finney Stockbrokers Enters Special Administration Regime
Date 20/03/2013
The Financial Services Authority (FSA) has confirmed that Fyshe Horton Finney Stockbrokers has entered the Special Administration Regime (SAR) on 20 March 2013. Paul Boyle and David Clements at Harrisons Business Recovery & Insolvency (London) Limited have been appointed joint special administrators.
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ESMA Publishes Q&As On EMIR Implementation
Date 20/03/2013
The European Securities and Markets Authority (ESMA) has published a set of Questions and Answers in order to promote common supervisory approaches and practices in the application of EMIR across the European Union.
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Toronto Stock Exchange, TSX Venture Exchange, Montreal Exchange, TMX Select And Alpha Closed For Good Friday
Date 20/03/2013
Toronto Stock Exchange, TSX Venture Exchange, Montreal Exchange, TMX Select and Alpha will be closed on Friday, March 29, 2013 for Good Friday. Natural Gas Exchange will operate on a reduced trading schedule from 8:30 a.m. – noon (MDT).
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