Mondo Visione Worldwide Financial Markets Intelligence

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  • Speech By SEC Chairman Mary L. Schapiro: Opening Statement At The SEC Open Meeting

    Date 03/12/2010

    Today, the Commission will consider a series of proposed rules and interpretations relating to the oversight of swaps and security-based swaps.

  • FINRA Seeks Cease-And-Desist Order To Halt Ongoing Fraud And Misuse Of Funds By Pinnacle Partners And Its President Brian Alfaro

    Date 03/12/2010

    FINRA announced today that it has filed a notice seeking a Temporary Cease and Desist Order (TCDO) against San Antonio-based brokerage Pinnacle Partners Financial Corporation and its President, Brian K. Alfaro. The TCDO would halt allegedly fraudulent and illegal sales activities at the firm relating to eight unregistered private placement offerings selling interests in oil and gas joint ventures. FINRA is seeking the order based on belief that customer harm and depletion of customer assets w

  • SIFMA Supports Expansion Of FINRA Public Arbitrator Pilot Program

    Date 03/12/2010

    —SIFMA, through its Arbitration Committee, today submitted a supportive comment letter to the Financial Industry Regulatory Authority (FINRA) on their proposal to continue and expand a pilot program that gave investors the option of choosing an all-public arbitration panel.

  • SEC: Fee Rate Advisory #3 For Fiscal Year 2011

    Date 03/12/2010

    The President and Congress are expected to extend the continuing resolution funding the Securities and Exchange Commission through Dec. 18, 2010. During this period, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates.

  • CME Group Appoints Edemir Pinto To Its Board Of Directors

    Date 03/12/2010

    CME Group, the world's leading and most diverse derivatives marketplace, today announced that it has appointed Edemir Pinto, Chief Executive Officer of BM&FBOVESPA, the world's third largest exchange by market capitalization, to the company's board of directors, for a term expiring at the 2012 annual meeting of shareholders.