Wednesday, September 14, 2011

OPENING STATEMENT AT PUBLIC MEETING ABOUT IOSCO REPORT ON COMMODITY DERIVATIVES MARKETS

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CFTC Commissioner Michael V. Dunn provided the opening statement on the Iosco report at the open meeting on the regulation and supervi...
Tuesday, September 13, 2011

ALLEGED INSIDE TRADERS AT TRIVIUM CAPITAL MANAGEMENT LLC, AGREE TO SETTLEMENT WITH SEC

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“The Securities and Exchange Commission announced today that, on July 18, 2011, the Honorable Jed S. Rakoff of the United States Distr...
Monday, September 12, 2011

SEC CHAIRMAN SCHAPIRO STATEMENT ON COURT''S VACATING SHAREHOLDER RIGHTS RULE

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The following is an excerpt from the SEC website: "Washington, D.C., Sept. 6, 2011 – The Securities and Exchange Commission toda...

SEC FILES CIVIL INJUNCTION AGAINST INVESTMENT ADVISOR AND PRINCIPAL FOR MISREPRESENTATIONS REGARDING THE FOREX MARKET

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The following excerpt is from the SEC website: “The Securities and Exchange Commission announced that, on September 8, 2011, it fil...
Saturday, September 10, 2011

CFTC SETTLES CHARGES OF FRAUD WITH OFF-EXCHANGE FOREIGN CURRENCY DEALER

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The following is from the CFTC website: “Washington, DC – The Commodity Futures Trading Commission (CFTC) today filed and sim...
Friday, September 9, 2011

FIRST NATIONAL BANK OF FLORIDA WAS CLOSED AND THE DEPOSITS WILL BE ASSUMED BY CHARTERBANK OF GEORGIA

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The following is an excerpt from a press release e-mail sent out by the FDIC: “The First National Bank of Florida, Milton, Florida, w...