This meeting will focus on three significant issues facing the futures and swaps industries as the Commission continues to finalize rules under the Dodd-Frank Act. Those issues are: (1) automated and high frequency trading (HFT): exchange oversight and definitions; (2) final recommendations from the Subcommittee on Data Standardization; and (3) credit limit checks: market structure and technology issues. What: Technology Advisory Committee Meeting Location: CFTC Headquarters Conference Center, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581 Date: March 29, 2012 Time: 10:00 a

The latest Advisers Act Enforcement Action -- Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino; IA-3408, IC-30085, 33-9326 (released 05/29/2012).

The SEC today charged a Miami-based hedge fund adviser for deceiving investors about whether its executives had personally invested in a Latin America-focused hedge fund. The SEC’s investigation found that Quantek Asset Management LLC made various misrepresentations about fund managers having “skin in the game” along with investors in the $1 billion Quantek Opportunity Fund. Quantek’s executives never invested their own money in the fund. The SEC’s investigation also found that Quantek misled investors about the investment process of the funds it managed as well as certain related-party

The SEC today announced charges against a New York-based fund manager and his two firms for luring investors into a trading program that would purportedly maximize their profits but instead spent their money in unauthorized ways. View SEC Complaint.

In a May 22, 2012 speech, SEC Commissioner Elisse B. Walter addressed several issues facing the SEC, including: global leadership and responsibilities, global accounting standards, and investor confidence. View speech in full here (links externally to SEC website).