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Statement of FINRA Regarding the SEC's Study on Enhancing Investment Adviser Examinations

Date 19/01/2011

The SEC has thoughtfully evaluated the need for additional oversight of investment advisers and has rightly concluded that having the ability to leverage SRO resources could be advantageous to assisting the Commission. We agree with the SEC that an SRO can augment government oversight programs through more frequent examinations. As we have consistently stated, customers of investment advisers would benefit from the additional protection afforded by SRO oversight. Investors deserve the same leve
CFTC Staff To Host Public Roundtable To Discuss Swap Data Recordkeeping And Reporting Requirements

Date 19/01/2011

Staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable on January 28, 2011, from 9:00 am to 5:00 pm to discuss issues related to swap data recordkeeping and reporting requirements. The roundtable will assist the CFTC in the understanding and implementation of Section 728 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
CFTC To Hold Open Meeting On Eleventh Series Of Proposed Rules Under The Dodd-Frank Act

Date 19/01/2011

The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Wednesday, January 26, 2011, at 9:30 a.m. to consider the issuance of proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act on the following topics: • Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF (joint with the Securities and Exchange Commission) and • Commodity Pool Op
SEC Commissioner Elisse B. Walter: Statement On Study Enhancing Investment Adviser Examinations (Required By Section 914 Of Title IX Of The Dodd-Frank Wall Street Reform And Consumer Protection Act)

Date 19/01/2011

Click here to download Commissioner Elisse B. Walter's statement on a study enhancing investment adviser examinations as required by section 914 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
SEC Charges Offshore Company In Massive Life Settlement Bonding Fraud

Date 19/01/2011

The Securities and Exchange Commission today charged Provident Capital Indemnity Ltd. (PCI), its president, and its purported outside auditor with conducting a massive life settlement bonding fraud.

KCBT HRW Wheat Futures Contract Amendments Receive CFTC Approval

Date 19/01/2011

The Kansas City Board of Trade received Commodity Futures Trading Commission (CFTC) approval for amendments to the KCBT’s Hard Red Winter wheat futures contract as of the close of business yesterday.
Standard & Poor's Announces Changes In The S&P/TSX Canadian Indices

Date 19/01/2011

Standard & Poor's Canadian Index Operations announces the following index changes: The shareholders of Potash One Inc. (TSX:KCL) have accepted the cash offer of $CDN4.50 per share from K+S Canada Holdings Inc. Potash One will be removed from the S&P/TSX SmallCap and Equity SmallCap indices after the close of trading on Wednesday, January 26, 2011.
Deputy Managing Director Murilo Portugal To Leave The IMF

Date 19/01/2011

Mr. Dominique Strauss-Kahn, Managing Director of the International Monetary Fund (IMF), issued the following statement today: “Murilo Portugal has informed me of his intention to relinquish his position as Deputy Managing Director of the IMF with immediate effect given the on-going selection process for the new president of the Brazilian Banking Federation (Febraban).
InfoReach Proposes Universal "Ticker" Symbols To Test Trade And Routing Connectivity Without Risk

Date 19/01/2011

Global electronic trading technology provider InfoReach (www.inforeachinc.com) is pioneering an initiative to reduce common problems and costs that arise during the process of enabling connectivity between trading counterparties.
Dow Jones Indexes Licenses Two Stock Market Indexes To Charles Schwab

Date 19/01/2011

Dow Jones Indexes, a leading global index provider, today announced that Charles Schwab has licensed the Dow Jones U.S. Mid-Cap Total Stock Market Index and the Dow Jones U.S. Select REIT Index in an expansion of Schwab’s proprietary exchange-traded funds (ETFs) platform.