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BVMF Ended September With 33.82% Institutional Investors Of The Total Volume

Date 04/10/2011

In September, institutional investors were responsible for 33.82% of the total volume. Foreign investors came next, with 33.78%; individual investors had 22.94%; financial institutions, with 7.66%; companies, with 1.75%; and other types of investors with 0.04%.
FINRA Fines Merrill Lynch $1 Million For Supervisory Failures That Allowed A Registered Representative To Operate A Ponzi Scheme

Date 04/10/2011

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.
FINRA Names Gerri Walsh President Of The FINRA Foundation, Head Of Investor Education

Date 04/10/2011

The Financial Industry Regulatory Authority (FINRA) announced today that Gerri Walsh has been named President of the FINRA Investor Education Foundation and head of FINRA's Investor Education division. Walsh will be taking over these two positions from John Gannon, who left FINRA earlier this year.
CFTC: Federal Court Orders Convict Perry Jay Griggs And His Wife To Pay $2.1 Million Civil Penalty For Multi-Million Dollar Commodity Pool Fraud And Misappropriation - In A Related Criminal Proceeding, Perry Griggs Sentenced To 87 Months Imprisonment, And His Wife Rachelle Sentenced To 48 Months Imprisonment.

Date 04/10/2011

The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court consent order requiring defendants Perry Jay Griggs, his wife, Rachelle Griggs, and their company, Aloha Trading Company, Inc. (Aloha), all of Las Vegas, Nev., to jointly and severally pay a $2.1 million civil monetary penalty to settle CFTC charges that they operated a multi-million dollar commodity futures Ponzi scheme (see CFTC Press Release 5929-11, October 29, 2010).
Michael A. Conley Named SEC's Deputy General Counsel

Date 04/10/2011

The Securities and Exchange Commission announced today that Michael A. Conley has been named a Deputy General Counsel in the SEC’s Office of General Counsel.

NSX Releases September 2011 ETF/ETN Data Reports

Date 04/10/2011

National Stock Exchange, Inc. (NSX®) announced that assets in U.S. listed Exchange-Traded Funds (ETF) and Exchange-Traded Notes (ETN) totaled approximately $973 billion at September 2011 month-end, an increase of almost 8% in comparison to September 2010 when month-end assets totaled approximately $901 billion. At the end of September 2011, the number of listed products totaled 1335.
Deutsche Börse: Turnover On Xetra Increases By 28 Percent In September - Transactions On Xetra Up By 56 Percent

Date 04/10/2011

Order book turnover on Xetra and the Xetra Frankfurt specialist trading stood at €131.6 billion in September – an increase by 26.7 percent year-on-year (September 2010: €103.8 billion). Of the €131.6 billion, €126.1 billion were attributable to Xetra (+28 percent y-o-y, September 2010: €98.3 billion). €5.5 billion were attributable to the Xetra Frankfurt specialist trading, an small increase y-o-y (September 2010: €5.4 billion). Order book turnover on Tradegate Exchange* totalled €2.9 billion in September.
Chairman Ben S. Bernanke - Economic Outlook And Recent Monetary Policy Actions - Before The Joint Economic Committee, U.S. Congress, Washington, D.C., October 4, 2011

Date 04/10/2011

Chairman Casey, Vice Chairman Brady, and other members of the Committee, I appreciate this opportunity to discuss the economic outlook and recent monetary policy actions.
Toronto Stock Exchange To Host ETF Series For Advisors - Co-Sponsored By Exchange Traded Fund Providers

Date 04/10/2011

Toronto Stock Exchange (TSX) today announced it will launch a series of exchange traded fund (ETF) lunch and learn presentations for investment advisors, co-sponsored by ETF providers.
CISI Survey Shows Two Thirds Of Financial Services Practitioners Believe That The 50p Rate Of Income Tax Is Damaging The UK

Date 04/10/2011

Two-thirds of financial services practitioners believe that the 50p top rate of income tax is damaging the UK, a Chartered Institute for Securities & Investment (CISI) survey shows.