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Date 07/09/2012
New Zealand: New Designated Settlement System
The Reserve Bank of New Zealand and the Financial Markets Authority (FMA) today announced that the NZ Clear Settlement System has been declared a designated settlement system under Part 5C of the Reserve Bank of New Zealand Act.
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Date 07/09/2012
NCUA Files Suit Against UBS Securities
The National Credit Union Administration (NCUA) has filed suit in Federal District Court in Kansas against UBS Securities, alleging the investment giant violated federal and state securities laws through misrepresentations in the sale of mortgage-backed securities to U.S. Central Federal Credit Union (US Central) and Western Corporate Federal Credit Union (WesCorp).
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Date 06/09/2012
TMX Group Top 20 Largest - Consolidated Short Position Report – Highlights - August 31, 2012
Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending August 31, 2012.
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Date 06/09/2012
SEC Reschedules Date Of Market Technology Roundtable
The Securities and Exchange Commission today announced that its market technology roundtable, which was scheduled for Sept. 14, will be held on Oct. 2. The change was made to accommodate scheduling conflicts and to better respond to strong interest from individuals and groups wishing to participate in the roundtable discussion.
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Date 06/09/2012
NASDAQ OMX August 2012 Volumes
The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for August 2012 on its investor relations website. A data sheet showing the monthly volumes for can be found at: http://ir.nasdaqomx.com/monthly-reporting/
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Date 06/09/2012
OIC Announces Equity Options Seminar Lineup For Fall 2012
The Options Industry Council (OIC) announced its seminar schedule for the fall season. Seminars are tailored to meet investors’ knowledge and skill level and focus on options basic, ETFs, intermediate, volatility and advanced topics.
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Date 06/09/2012
ETFGI Global ETF And ETP Industry Insights, August 2012
Summary for ETFs listed globally
At the end of August 2012, the global ETF industry had 3,322 ETFs, with 7,507 listings, assets of US$1,573 Bn, from 174 providers on 51 exchanges.
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Date 06/09/2012
Joint Association Response To HMT’s Informal Consultation On Segregation And Portability
The British Banker’s Association, the International Swaps and Derivatives Association and the Futures and Options Association (‘the signatories’) agree with the HMT’s approach of seeking to ensure that the EMIR porting requirements are specifically recognised under English insolvency law in order to ensure certainty as to the operation and protection of the porting option on the insolvency of a clearing memb
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Date 06/09/2012
SEC Charges Solar Manufacturer With Concealing Agreement To Transfer Ownership Stake In Its Chinese Subsidiary
The Securities and Exchange Commission today charged a solar panel manufacturer headquartered in South San Francisco and three of its former executives with defrauding investors by concealing the transfer of nearly half of the ownership stake in its Chinese subsidiary to three individuals in China who manage the subsidiary.
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Date 06/09/2012
Federal Court In Tennessee Orders Blue Sky Capital Management Corp. And Its Principal, Gregory M. Schneider, To Pay $140,000 For Making False Statements To The National Futures Association
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order requiring Blue Sky Capital Management Corp. (Blue Sky) and its principal, Gregory M. Schneider, jointly and severally to pay a $140,000 civil monetary penalty for making false statements to representatives of the National Futures Association (NFA), the futures industry self-regulatory organization, which operates under CFTC oversight. Schneider currently resides in Bellville, Ohio, and Blue Sky maintained a business address in Lebanon, Tenn.
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