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News Centre
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SEC Charges Options Traders And Broker-Dealers For "Naked" Short Sale Rule Violations
Date 05/08/2009
The Securities and Exchange Commission today took its first enforcement actions for violations of the Commission's rules to prevent abusive "naked" short selling, charging two options traders and their broker-dealers with violating the locate and close-out requirements of Regulation SHO. The Commission also charged a supervisor at one of the firms.
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Steven Moses Hazan And Hazan Capital Management, L.L.C. Settle Enforcement Actions Involving Violations Of Regulation SHO Short Sale Rules - Steven Moses Hazan And Hazan Capital Management, L.L.C. To Pay $4 Million, Including $3 Million Disgorgement - St
Date 05/08/2009
NYSE Regulation, Inc. announced today the settlement of a joint disciplinary action by NYSE Amex LLC (“NYSE Amex”) and NYSE Arca, Inc. (NYSE Arca”) for violations of Securities and Exchange Commission (“SEC”) Regulation SHO short sale rules in connection with trading activity in threshold securities on various options and equity exchanges and marketplaces, including the American Stock Exchange (now known as NYSE Amex) and NYSE Arca. Steven Moses Hazan (“Hazan”) and his firm Hazan Capital Manage
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Irish Stock Exchange Monthly Statistics – July 2009
Date 05/08/2009
Equity turnover for July was EUR 3,897.72 million; ETF turnover was EUR 4.95 million while that for Irish Government Bonds was EUR 15,789.98 million and Treasury Bills EUR 4,981.57.
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CFTC Requests Public Comment On Application By ICE Clear Europe Limited For Registration As A Derivatives Clearing Organization
Date 05/08/2009
The Commodity Futures Trading Commission (CFTC) is asking for public comment on an application by ICE Clear Europe Limited for registration as a derivatives clearing organization.
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Shenzhen Stock Exchange Holds The 30th Board Secretary Training Class
Date 05/08/2009
The Shenzhen Stock Exchange held the 13th follow-up training class of the 30th qualification training class for board secretaries of listed companies in Anhui province; 176 trainees from 126 companies listed on Shenzhen stock market attended the class. A few leaders from Anhui Securities Regulatory Bureau and Shenzhen Stock Exchange appeared in the opening ceremony and gave the speech.
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FINRA Hearing Panel Expels Legacy Trading Co., Bars Firm's CEO, Imposes Fine Of More Than $1 Million - Panel Finds Respondents Made Almost $900,000 From Illegal Short Sales, Firm And Its President Gave FINRA False Information During Investigation - Firm,
Date 05/08/2009
A Financial Industry Regulatory Authority (FINRA) hearing panel has expelled Legacy Trading Co., LLC of Edmond, OK, and permanently barred the firm's CEO and owner, Mark Uselton, from the securities industry for a wide range of misconduct — including violations of short selling rules, failure to maintain required books and records, and for providing false information and refusing to provide testimony to FINRA. The hearing panel also fined Legacy and Uselton more than $1 million, finding that
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Opening Statement Of Chairman Gary Gensler, Commodity Futures Trading Commission Hearing of the Commodity Futures Trading Commission, August 5, 2009
Date 05/08/2009
Click here to download the opening statement of Chairman Gary Gensler, Commodity Futures Trading Commission Hearing of the Commodity Futures Trading Commission, August 5, 2009.
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NYSE Liffe US Announces September 8 Launch Date For Its First Products Based On MSCI Indices - Three Global Index Futures Based On MSCI USA , Emerging Markets And EAFE Benchmark Indices - Attractive Global Equity Market Exposure Meets Strong Customer Dema
Date 05/08/2009
NYSE Liffe US , the innovative new U.S. futures exchange of NYSE Euronext (NYX), today announced that it has set a September 8 launch date for its first three equity index futures, based on the MSCI USA, Emerging Markets (EM) and EAFE indices. These products are the first to be launched under a May licensing agreement between NYSE Liffe US and MSCI Inc. (NYSE: MXB), a leading provider of investment decision support tools worldwide. With more than 40 unique futures products based on MSCI inter
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Nasdaq OMX Nordic Monthly Report - Total Equity Trading July 2009
Date 05/08/2009
Click here to download the Nasdaq OMX Nordic monthly equity trading report for July 2009. This report - containing detailed equity trading statistics per list for the last 13 months - will give you an overview of trading both in Stockholm, Helsinki, Copenhagen and Iceland.
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Warsaw Stock Exchange Derivative Instruments And Structured Products Market In July 2009
Date 05/08/2009
Derivative Instruments The volume of trading in all derivative instruments was 1.2 million instruments in July 2009. The number of open interest was 145 thousand instruments. It was the highest number of open interest at the end of a month in the history of the WSE. The volume of trading in stock futures contracts was over 300 thousand contracts (precisely 300,710 contracts) year to date (January-July 2009), up by 86% of year on year. The volume of trading in c
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