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Some Demographic Groups Under-Represented Among Investor Households, FINRA Foundation Research Finds

Date 01/10/2015

More than 3 in 10 U.S. households own taxable investment accounts, but black and Hispanic households are significantly less likely than white households to hold taxable accounts, according to A Snapshot of Investor Households in America, a new report issued by the FINRA Investor Education Foundation. Millennial households and those headed by single women also have low taxable account ownership rates.
FINRA Statement Regarding Series 24 Exam

Date 01/10/2015

Due to a configuration error, some of the individuals who took the Series 24 supervisory examination in recent weeks incorrectly received a failing grade. The Financial Industry Regulatory Authority (FINRA) is notifying all of the affected firms and is correcting individual records in its CRD database.
SIFMA President And CEO Kenneth E. Bentsen, Jr. Remarks At The SIFMA Liquidity Forum

Date 01/10/2015

SIFMA President and CEO Kenneth E. Bentsen, Jr. delivered opening remarks and introduced the Federal Reserve Bank of New York’s President and CEO William C. Dudley at the SIFMA Liquidity Forum in New York.
BM&FBOVESPA Presents The State-Owned Enterprise Governance Program

Date 30/09/2015

On Wednesday afternoon BM&FBOVESPA presented the State-Owned Enterprise Governance Program. BM&FBOVESPA Chief Executive Officer Edemir Pinto took part in this event alongside capital market representatives.
New Zealand To Move To T+2 In 2016

Date 30/09/2015

The New Zealand Stock Exchange will move to a T+2 settlement cycle on 7 March, the same day as Australia.

TEXPERS Special Report: Texas' State And Local Pension Funds Achieve Best Five-Year Measure Of Financial Health In 2014-15

Date 30/09/2015

The Texas Association of Public Employee Retirement Systems issued a report today showing that 93 state and local pension funds which submit data to the Texas Pension Review Board combined in 2014-2015 to achieve the best overall improvement in financial health in five years.
CFTC Charges Florida-Based Guardian Asset Group, LLC And Andrew Kurzbard With Engaging In Illegal, Off-Exchange Precious Metals Transactions

Date 30/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against Defendants Guardian Asset Group, LLC (Guardian) and its owner and principal, Andrew Kurzbard, both of West Palm Beach, Florida. The CFTC Complaint charges the Defendants with engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis. The Complaint further alleges that Kurzbard, as controlling person for Guardian, is liable for Guardian’s violations of the Commodity Exchange Act (CEA).
Alberta Securities Commission: Securities Salesperson Convicted On 20 Charges In Provincial Court

Date 30/09/2015

Donald Addison Nason has been convicted of 20 counts of breaching Alberta securities laws. Provincial Court Judge Fraser found Nason guilty of engaging in illegal distributions, multiple breaches of an Alberta Securities Commission (ASC) cease trade order, an unfair trade practise, and numerous misleading or untrue statements to investors.
CFTC Orders Minneapolis-Based Alfred C. Toepfer International, Inc. To Pay $400,000 For Inaccurately Reporting Positions In Multiple Grains

Date 30/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Alfred C. Toepfer International, Inc. (Toepfer), a global merchandiser of agricultural commodities, for failing to comply with its legal obligation to submit accurate monthly CFTC Form 204 Reports regarding the composition of Toepfer’s fixed price cash grain purchases and sales, in violation of the reporting requirements in CFTC Regulation 19.01. The CFTC Order requires Toepfer to pay a $400,000 civil monetary penalty and to cease and desist from further violations of Regulation 19.01. Toepfer is based in Minneapolis, Minnesota.
Market Structure In The 21st Century: Bringing Light To The Dark, SEC Commissioner Kara M. Stein, Remarks Before The Securities Traders Association’s 82nd Annual Market Structure Conference, Sept. 30, 2015

Date 30/09/2015

Thank you, Jim [Toes], for that kind introduction. I appreciate the invitation to be with you today. Both the Securities Traders Association (“STA”) and the U.S. Securities and Exchange Commission (“Commission” or “SEC”) were formed in 1934, at a pivotal time in our nation’s history. Both have been serving investors now for over 80 years. It is a pleasure to be speaking to a group of professionals who have been, and continue to be, concerned about the structure and operations of our capital markets.