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    США (SEC), (NFA), (FINRA), (CFTC)

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    Admin
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    США (SEC), (NFA), (FINRA), (CFTC)

    Сообщение автор Admin в Пт 1 Июл 2011 - 12:56

    США

    Securities and Exchange Commission (SEC) / Комиссия по ценным бумагам и биржам
    http://www.sec.gov/
    National Futures Association (NFA) / Национальная фьючерсная ассоциация
    http://www.nfa.futures.org/
    Financial Industry Regulatory Authority (FINRA) / Регулирующий орган финансового сектора
    http://www.finra.org/
    Commodity Futures Trading Commission (CFTC) / Комиссия по срочной биржевой торговле
    http://www.cftc.gov/

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    Re: США (SEC), (NFA), (FINRA), (CFTC)

    Сообщение автор Admin в Вт 8 Мар 2016 - 8:15

    For more information contact:
    Kristen Scaletta, 312-781-7860, kscaletta@nfa.futures.org
    Karen Wuertz, 312-781-1335, kwuertz@nfa.futures.org

    NFA bars Streamwood, Ill. introducing broker Portfolio Managers Inc. from membership

    February 29, Chicago—National Futures Association (NFA) has permanently barred Portfolio Managers, Inc. (PMI), an NFA Member introducing broker located in Streamwood, Ill., and PMI's LA branch office associated persons (AP) Christopher M. Hogan and Thomas G. Heneghan from membership and from acting as principals of an NFA Member. In addition, NFA barred PMI's sole principal Amanda L. Murphy from membership and from acting as a principal of an NFA Member for four years, and its LA branch office AP Andrey A. Zhukov for three years.

    The Decisions are based on a Complaint authorized by NFA's Business Conduct Committee (BCC) on December 21, 2015, and a settlement offer submitted by PMI and Murphy. An NFA Hearing Panel found that PMI, acting through the APs at its LA branch office, made misleading, deceptive and high-pressure sales solicitations, and willfully submitted false and misleading information to NFA. In addition, the Hearing Panel found that PMI and Murphy failed to supervise PMI's operations and its APs' sales practices. The BCC found that Heneghan and Zhukov made misleading and deceptive sales solicitations to customers and used high-pressure sales tactics. The BCC also found that Hogan provided NFA with materially false and misleading information, and failed to diligently supervise the operations and employees of PMI.

    The complete text of the Complaint, the PMI and Murphy Decision, and the Heneghan, Hogan and Zhukov Decision can be viewed on NFA's website.

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    Re: США (SEC), (NFA), (FINRA), (CFTC)

    Сообщение автор Admin в Вт 8 Мар 2016 - 8:22

    Complete this form to submit your comments. Fields marked with an asterisk (*) are required.

    Important: All comments will be made available to the public. Submit only information that you wish to make available publicly. This form should not be used for submitting a tip or complaint (including a whistleblower complaint). If you wish to submit a tip or complaint regarding a potential violation of the federal securities laws, please use our online form, or mail your information to the SEC Complaint Center at the following address: SEC Complaint Center, 100 F Street NE, Washington, D.C. 20549-0213. You can also send a fax to 703-813-6965.
    If you would like to submit Microsoft Word, PDF, or WordPerfect files as your comments
    or as supplementary materials to your comments, you will be able to do so on the next page.

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    Re: США (SEC), (NFA), (FINRA), (CFTC)

    Сообщение автор Admin в Вт 8 Мар 2016 - 8:23

    Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) is requesting public comment on a petition submitted by LCH.Clearnet Ltd for an order pursuant to Section 4d(f) of the Commodity Exchange Act (Act).

    The petition requests an order that would permit LCH.Clearnet Ltd and its clearing members that are registered futures commission merchants to: (1) commingle in an account subject to Section 4d(f) (a cleared swaps customer account) futures and foreign futures positions and cleared swaps positions, and related customer money, securities, and property; and (2) portfolio margin futures and foreign futures contracts and cleared swaps contracts in the cleared swaps customer account.

    Comments regarding the request should be submitted on or before March 11, 2016.

    Comments may be submitted electronically through the CFTC’s Comments Online process. The petition and all comments received are available on the CFTC’s website.

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    Re: США (SEC), (NFA), (FINRA), (CFTC)

    Сообщение автор Admin в Вт 8 Мар 2016 - 8:29

    ORF Step In/Step Out Trades

    Recently, FINRA has been made aware of an Over The Counter Reporting Facility (ORF) technical issue regarding the confirmations firms receive from DTCC for step-in/step-out trades.

    On all step in/step out trades, DTCC expects the step in/step out indicator from the seller's perspective of the trade. However, in cases where the trade is entered as a Buy step in/ step out, and subsequently Matched By Acceptance, Auto-Locked, or was Locked-In At-Entry, FINRA is sending the indicator to DTCC as it was reported to ORF, i.e. from the buyer's perspective.

    Between November 17, 2014 and March 4, 2016, FINRA estimates there have been approximately 11,600 Matched By Acceptance trades, approximately 5,300 Matched by Auto-Locked trades, and approximately 3,350 Locked-In-At-Entry trades affected by this issue.

    FINRA will issue an additional ORF technical notice with further details on the implementation of a fix for this issue. FINRA does not require or recommend any action to be taken by firms to attempt to correct this issue.

    - See more at: http://www.finra.org/industry/orf/orf-step-instep-out-trades#sthash.JCfw7nC7.dpuf

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    Re: США (SEC), (NFA), (FINRA), (CFTC)

    Сообщение автор Спонсируемый контент Сегодня в 11:05


      Текущее время Вт 24 Янв 2017 - 11:05