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Remarks By FINRA Chairman And CEO Rick Ketchum At The FINRA Fixed Income Conference

Date 07/03/2011

An audio podcast of this speech is available for download (MP3 44 MB – 36 min. 49 sec.).
SEC Adds New Charges Against Connecticut-Based Hedge Fund Manager In Ponzi Scheme

Date 07/03/2011

The Securities and Exchange Commission today amended its complaint against a Stamford, Conn.-based investment adviser and its principal, Francisco Illarramendi, to additionally charge them with engaging in a multi-year Ponzi scheme involving hundreds of millions of dollars.
TMX Group Welcomes The International Mining Community To Toronto For PDAC 2011

Date 07/03/2011

TMX Group is pleased to welcome conference attendees to Toronto to participate in the Prospectors and Developers Association of Canada's (PDAC) International Convention, Trade Show, & Investors Exchange from March 6 – 9, 2011. TMX Group will host and participate in 19 events geared towards the mining industry during the conference, including market openings, seminars, and workshops regarding listing on Toronto Stock Exchange and TSX Venture Exchange.
European Parliament: MEPs Crack Down On Sovereign Debt Speculation And Naked Short Selling

Date 07/03/2011

A ban on certain trades in sovereign bonds, and requirement that traders settle their uncovered positions by the end of each trading day, were two key outcomes of Monday's Economic Affairs Committee vote on a draft EU regulation on short selling and credit default swaps. MEPs also inserted a requirement that short sale transactions be reported less often, but beefed up the rules to ensure that fines are dissuasive.
IntercontinentalExchange Announces Appointment Of Senator Judd A. Gregg To Board Of Directors

Date 07/03/2011

IntercontinentalExchange (NYSE: ICE), a leading operator of regulated global futures exchanges, clearing houses and over-the-counter (OTC) markets today announced that former U.S. Senator Judd A. Gregg has joined the IntercontinentalExchange Board of Directors. Gregg's appointment is effective immediately.

EU Proposals A Welcome First Step Towards Making Too-Big-To-Fail A Thing Of The Past

Date 07/03/2011

European proposals to reduce the probability of financial crises and to manage them if they occur should help level the regulatory playing field with the UK, the British Bankers’ Association said today.
H.E. President Abdullah Gul, President Of The Republic Of Turkey, To Ring The Istanbul Stock Exchange Opening Bell With Women Entrepreneurs On International Women’s Day

Date 07/03/2011

H.E. Mr. Abdullah GUL, President of the Republic of Turkey, Mr. M. Rifat HISARCIKLIOGLU, President of the Union of Chambers and Commodity Exchanges of Turkey (TOBB), and the members of TOBB Women Entrepreneurs Board will ring the opening bell of the Istanbul Stock Exchange (ISE) on March 8th, on the occasion of International Women’s Day.
FINRA Fines Southwest Securities $500,000 For Paying Former Texas Municipal Issuer Officials

Date 07/03/2011

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Southwest Securities, Inc. of Dallas $500,000 for using paid consultants to solicit municipal securities business and for violations of other Municipal Securities Rulemaking Board (MSRB) rules.
Firms In Thai Alternative Market Have Collective 46% Rise In Profit Over 2009

Date 07/03/2011

The 65 companies listed on Thailand’s Market for Alternative Investment (mai) have altogether reported total 2010 net profits of THB3.23 billion (approx. USD106.14 million), a 45.69% year-on-year rise, after total sales rose 11.08% to THB55.08 billion (approx. USD1.81 billion).
Inclusion Of Aviation In The EU ETS: Commission Publishes Historical Emissions Data On Which Allocations Will Be Based

Date 07/03/2011

The European Commission has, today, taken an important step in preparing for the full inclusion of aviation in the EU's emissions trading system (EU ETS) from 1 January next year. The European Commission has decided on the historical aviation emissions which will be used to calculate the number of aviation allowances to be available from 2012.