News Centre

Speech By SEC Chairman Mary L. Schapiro: Opening Statement Regarding Proposal To Remove Credit Rating References From Investment Company Act Rules And Forms

Date 02/03/2011

The final item on our agenda relates to proposals to eliminate credit rating references from rules and forms under the Investment Company Act.

Speech By SEC Chairman Mary L. Schapiro: Opening Statement — SEC Open Meeting: Proposed Rules On Incentive-Based Compensation

Date 02/03/2011

Good morning. This is an Open Meeting of the Securities and Exchange Commission on March 2, 2011.

Speech By SEC Chairman Mary L. Schapiro: Opening Statement Regarding Proposed Rules For Operation And Governance Of Clearing Agencies

Date 02/03/2011

The next two items, which we will consider together, also stem from the Dodd-Frank Act and relate to the way clearing agencies operate and are governed.

Standard & Poor's Announces Changes In The S&P/TSX Canadian Indices

Date 02/03/2011

Standard & Poor's Canadian Index Operations announces the following index changes:

• S&P Canadian Index Services announces that after the close of Friday, March 18, 2011, calculation of the S&P/TSX Capped Energy Trust Index will cease. Following the conversion of most income trusts to corporate structures at the end of 2010, this index currently has one constituent and no more energy trusts can currently be created. 

SEC Proposes Rule Amendments To Remove Credit Rating References In Investment Company Act Rules And Forms

Date 02/03/2011

The Securities and Exchange Commission today proposed rule amendments to remove references to credit ratings in certain rules and forms under the Investment Company Act of 1940, including rule 2a-7 governing the operations of money market funds.

TSX Block List Leaders - February 2011

Date 02/03/2011

Block Trade Summaries

TSX Block List Leaders^TM

Block trades are large trades with a volume of 10,000 shares or more and a value of $100,000 or more. The TSX Block List Leaders lists shows the top ten brokers chosen by their customers to execute these significant block trades on Toronto Stock Exchange. The leaders are measured by volume and value of blocks traded.

SEC Proposes Clearing Agency Standards For Operations And Governance

Date 02/03/2011

The Securities and Exchange Commission today voted to propose rules in accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Securities Exchange Act of 1934 regarding the operation and governance of clearing agencies.

BM&FBOVESPA: Special Trading Hours On Ash Wednesday (March 9, 2011)

Date 02/03/2011

BM&FBOVESPA hereby informs you that on March 9, 2011, there will be special trading hours for Ash Wednesday.

SEC Proposes Rules On Disclosure of Incentive-Based Compensation Arrangements At Financial Institutions

Date 02/03/2011

The Securities and Exchange Commission today proposed a rule that would require certain financial institutions to disclose the structure of their incentive-based compensation practices, and prohibit such institutions from maintaining compensation arrangements that encourage inappropriate risks.

SEC Charges Former Officer Of Colonial Bank For Role In Securities Fraud Scheme

Date 02/03/2011

The Securities and Exchange Commission today charged a former vice president at Colonial Bank who was the head of its mortgage warehouse lending division with conducting a $1.5 billion securities fraud scheme.