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Speech By SEC Commissioner Troy A. Paredes: Statement At Open Meeting To Propose Rules Regarding Further Definition Of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant,” And “Eligible Contract P

Date 03/12/2010

Thank you, Chairman Schapiro. In accordance with the Dodd-Frank Act, the Commission is proposing rules that further define certain terms, including “security-based swap dealer” and “major security-based swap participant.” These definitions determine which entities will be subject to additional registration, capital, margin, and business conduct mandates as a result of Dodd-Frank.
Deutsche Börse: Postbank AG Leaves MDAX - Free Float Drops Below 10 Percent - Deutsche Wohnen AG Moves Up

Date 03/12/2010

Deutsche Börse has announced an unscheduled adjustment in MDAX. Following the tender offer of Deutsche Bank AG the free float of the MDAX constituent Postbank AG has dropped below 10 percent. In line with the fast exit rule the share is taken out of the index.
NSX Releases November 2010 ETF/ETN Data Reports - Assets Reach New Month-End Record

Date 03/12/2010

National Stock Exchange, Inc. (NSX®) announced that assets in U.S. listed Exchange-Traded Funds (ETF) and Exchange-Traded Notes (ETN) reached a record of $947 billion at November 2010 month-end. This is an increase of approximately 26% over November 2009 month-end when assets totaled almost $752 billion.
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.
TMX Group: Top 20 Largest Consolidated Short Position Report - November 30, 2010

Date 03/12/2010

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending November 30, 2010.
NYSE Euronext: The Expert Indices Committee

Date 03/12/2010

The Expert Indices Committee, meeting yesterday, took the following decisions: CAC 40 index: No modification in the composition of the index. CAC Next20 index: No modification in the composition of the index. SBF 120 index: No modification in the composition of the index. SBF 250 index: