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  • FINRA Suspends Pinnacle Partners And Its President Brian Alfaro

    Date 19/04/2011

    The Financial Industry Regulatory Authority (FINRA) announced today that it has suspended indefinitely Pinnacle Partners Financial Corporation, of San Antonio, TX, and its President, Brian K. Alfaro, for failure to comply with a FINRA Temporary Cease and Desist Order prohibiting their fraudulent misrepresentations. The suspension resulted from FINRA's Notice of Suspension that alleged that Pinnacle and Alfaro had continued to make fraudulent oral and written misrepresentations and omissions in connection with their offer and sale of certain oil and gas joint interests, and had otherwise failed to comply with the terms of the Temporary Order FINRA issued on January 21, 2011.

  • SIFMA’s Ryan Response To Deputy Treasury Secretary Wolin’s Remarks On Dodd-Frank Implementation

    Date 19/04/2011

    SIFMA today released the following statement by President and CEO Tim Ryan in response to Deputy Treasury Secretary Neal Wolin’s remarks at the Pew Charitable Trusts on implementation of the Dodd-Frank Act.

  • SEC Seeks Public Comment On Effective Investor Education Programs

    Date 19/04/2011

    The Securities and Exchange Commission today published on its website a request for public comment on the effectiveness of existing investor education efforts as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

  • CBOE Futures Exchange (CFE) To Launch Futures On Radar Logic 28-Day Real Estate Indexes

    Date 19/04/2011

    CBOE Futures Exchange, LLC (CFE) today announced plans to begin offering futures contracts on several Radar Logic 28-Day Real Estate indexes (RPX) — daily spot market equivalents for housing asset valuations covering major U.S. metropolitan centers — pending regulatory approval.

  • EU ETS Registries: Transitional Measure To End On 20 April With The Reinstatement Of The National Registry Of Lithuania

    Date 19/04/2011

    The national emissions registry of Lithuania will resume normal operations on 20 April 2011 at 3 pm CEST, bringing to an end the transitional measure imposed in January which suspended national EU ETS registries following cases of cyber crime.

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