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Keynote Address: Investment Adviser Association Investment Adviser Compliance Conference/2012 By Commissioner Daniel M. Gallagher, U.S. Securities and Exchange Commission

Date 08/03/2012

I want to thank David [Tittsworth] for inviting me to speak at this conference today. It is both an honor and a pleasure to speak to you this morning. The regulatory landscape for investment advisers has changed dramatically in the past two years, and programs like this one help ensure that we are all thinking hard about the consequences of this ongoing upheaval.

Component Changes Made To Euro STOXX Select Dividend 30 Index

Date 08/03/2012

STOXX Limited, the market-moving provider of innovative, tradable and global index concepts, today announced changes in composition of the EURO STOXX Select Dividend 30 Index which will become effective March 19, 2012.

J.P. Morgan Securities LLC Agrees To Pay $140,000 Penalty For Confirming The Execution Of A Prearranged Trade On The CBOT - Trade Was In Ten Year U.S. Treasury Note Futures Spreads

Date 08/03/2012

The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against futures commission merchant J.P. Morgan Securities LLC(JPMS) of New York, N.Y., for confirming the execution of a prearranged trade of ten year U.S. Treasury Note Futures spreads, which was a fictitious sale and noncompetitively executed on the Chicago Board of Trade (CBOT).

SEC Charges Former Executive At Coca-Cola Bottling Company With Insider Trading

Date 08/03/2012

The Securities and Exchange Commission today charged a former executive at a Coca-Cola bottling company with insider trading based on confidential information he learned on the job about potential upcoming business with The Coca-Cola Company.

BlackRock Institutional Trust Co. NA Agrees To Pay $250,000 Penalty To Settle Charges Of Prearranged Trading And Fictitious Sales On The CBOT - Trade Was In Ten Year U.S. Treasury Note Futures Spreads

Date 08/03/2012

The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against BlackRock Institutional Trust Company NA (BlackRock) of San Francisco, Calif., for engaging in prearranged trades that were noncompetitively executed and fictitious sales in ten year U.S. Treasury Note Futures spreads (ten year spreads) on the Chicago Board of Trade (CBOT). BlackRock is an investment management firm and is a wholly owned subsidiary of BlackRock, Inc.

NYSE Euronext Statement On Bipartisan Efforts To Create New Businesses And Jobs

Date 08/03/2012

NYSE Euronext (NYX) applauds today's overwhelming bipartisan support for a package of bills that will unleash America's economic growth potential. 

NASDAQ OMX Statement On H.R. 3606

Date 08/03/2012

Regarding H.R. 3606 "Reopening American Capital Markets to Emerging Growth Companies Act of 2011," Bruce Aust, Executive V.P. of NASDAQ OMX (Nasdaq:NDAQ), Global Client Group, provides the following statement:

London Stock Exchange Named ‘Best Of The Best’ For Financial Information Commercial Policies By FISD Consumer Constituency Group - Award Goes To Suppliers Which Demonstrate Excellence In The Development And Roll-Out Of New Administrative Policies

Date 08/03/2012

The Financial Information Services Division (FISD)’s Consumer Constituency Group (CCG) today honored the London Stock Exchange with the first-ever “Best of the Best” Award for Excellence in Financial Information Commercial Policies. The award, presented today in Paris, is given on an ad-hoc basis when a supplier demonstrates excellence in the development and roll-out of new administrative policies.

"Please Listen Carefully, Some Menu Options Have Changed" - Speech Of CFTC Commissioner Bart Chilton, Trade Tech 2012, New York, NY

Date 08/03/2012

Introduction—It’s Complex

Good morning. I’m raring to go and categorically excited to be with you. Although, I’ll admit sometimes (not today) it does take me a little bit to get my motor running in the morning. Yesterday, at 5 a.m., I was ordering coffee at the McDonald’s drive-thru and said, “A large coffee, to go.” Of course it was to go, numbskull. That’s why they call it a drive-thru!

Program Trading Averaged 33.7 Percent of NYSE Volume During Feb. 27-Mar. 2

Date 08/03/2012

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released  its weekly program-trading data compiled from member firms' executed volume from  NYSE's orders database. The report includes trading on the NYSE for Feb. 27-Mar.  2.