News Centre

FINRA Fines Citigroup Global Markets $725,000 For Failure to Disclose Conflicts Of Interest In Research Reports

Date 18/01/2012

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances.

U.S. Securities And Exchange Commission Approves NYSE Euronext Filings Related To Merger With Deutsche Börse AG

Date 18/01/2012

The U.S. Securities and Exchange Commission (SEC) has approved the filings related to the NYSE Euronext and Deutsche Börse AG merger and therefore, pending any changes, all U.S. regulatory approvals have been received in relation to the combination.  This approval would permit NYSE Euronext to become a wholly owned subsidiary of Holdco and authorizes certain amendments to the organizational and other governance documents of Holdco, NYSE Euronext and NYSE Group. The SEC approval order, Release Number 34-66171, can be found athttp://www.sec.gov/rules/sro/edga/2012/34-66171.pdf.

TMX Group Top 20 Largest - Consolidated Short Position Report – Highlights - January 15, 2011

Date 18/01/2012

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 January 15, 2012.

SEC Seeks Public Comment For Financial Literacy Study Mandated By Dodd-Frank Act

Date 18/01/2012

The Securities and Exchange Commission today published on its website a request for public comment on financial literacy and investor disclosure issues that it is studying as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Aritas Securities Succeeds Pipeline Trading Systems, Reflecting Significant Operational Changes

Date 18/01/2012

Since announcing a settlement agreement with the SEC last October,Pipeline Trading Systems LLC has been significantly reshaped, culminating today in the announcement of a new name for the business, Aritas Securities LLC. Since the SEC settlement, the firm has seen the departure of senior management, recruited Jay Biancamano as Executive Chairman to provide new leadership, discontinued the operations of its affiliate Milstream Securities, completed work on a new version of its flagship product Alpha Pro, updated its Algorithm Switching Engine and reorganized its internal structure. It is now launching the name Aritas.

SEC Charges Fund Managers And Analysts In Insider Trading Scheme - Hedge Fund Firms Diamondback Capital And Level Global Also Charged

Date 18/01/2012

The Securities and Exchange Commission today charged two multi-billion dollar hedge fund advisory firms as well as seven fund managers and analysts involved in a $78 million insider trading scheme based on nonpublic information about Dell’s quarterly earnings and other similar inside information about Nvidia Corporation.

London Stock Exchange Group Welcomes Italian Prime Minister, Mario Monti

Date 18/01/2012

London Stock Exchange Group today hosted Italian Prime Minister, Mario Monti, at its London Headquarters in Paternoster Square. Prime Minister Monti addressed a senior audience of UK based financiers, executives and leading City figures outlining his vision for the Italian economy before attending a press conference with international media.

DME 2011 – The Year In Review

Date 18/01/2012

The DME enjoyed another year of strong growth in 2011 despite a backdrop of unprecedented and challenging global events.

Swedish Financial Supervisory Authority - Finansinspektionen - And The Riksbank Start Council For Cooperation On Macroprudential Policy

Date 18/01/2012

To mitigate risks to the financial system, Finansinspektionen (FI) and the Riksbank are establishing a council for cooperation on macroprudential policy.

Dubai Mercantile Exchange Grows Trading Volumes By 19% In 2011

Date 18/01/2012

The Dubai Mercantile Exchange Limited ("DME") recorded year-on-year trading volume growth of 19% in 2011, it announced today.

The DME delivered more than 145 million barrels of crude oil during 2011, led by its flagship DME Oman Crude Oil Futures contract ("DME Oman"), but with a series of linked contracts adding to the performance. Within this growth figure is an underlying increase in Average Daily Volume (ADV) to 3,505 contracts per day, peaking at 4,427 per day in July. This represents the highest monthly ADV since the DME began trading in 2007. New records in total volume were also set in consecutive months during July and August, the latter seeing 95,440 contracts traded through the exchange.