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SIFMA Opposes Securities Transaction Tax

Date 18/11/2009

The Securities Industry and Financial Markets Association (SIFMA) today released a statement from Kenneth E. Bentsen, Jr., executive vice president, public policy and advocacy on a legislative proposal that would impose a tax on securities, futures and derivative transactions.
Remarks Of CFTC Chairman Gary Gensler, OTC Derivatives Reform, Exchequer Club Of Washington, November 18, 2009

Date 18/11/2009

Good afternoon. It is a pleasure to be with you today. I’d like to thank the Exchequer Club of Washington for inviting me to speak on the need for comprehensive reform of over-the-counter (OTC) derivative markets.
Charlie McCreevy European Commissioner For Internal Market And Services European Asset Management Senior Executive Forum - PriceWaterhauseCoopers' European Asset Management Senior Executive Forum, London, 17 November 2009

Date 18/11/2009

Thank you first of all to PriceWaterhouseCoopers for the invitation to address today's Investment Management Seminar. This will be one of my final speaking engagements as Commissioner and as such this is an opportune moment to reflect on what we have achieved and what remains to be done.
NASDAQ OMX Introduces The NASDAQ-100 Leveraged Index

Date 18/11/2009

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) announced today the introduction of the NASDAQ-100 Leveraged Index(SM) (Nasdaq:NDXL), a new index designed with the objective of producing two times the daily performance of the NASDAQ-100 Index(R) with financing costs embedded into the performance of the index.
TSX: Top 20 Largest Consolidated Short Position Report - November 15, 2009

Date 18/11/2009

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 15, 2009.

FINRA Fines Metlife Securities And Affiliates $1.2 Million For Email Supervision Failures - Investigation Of Broker Misconduct Continuing

Date 18/11/2009

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public. The fine also resolves charges of failing to establish adequate supervisory procedures relating to broker participation in outside business activities and private securities transactions.
Barclays Bank PLC Lists Five New Long And Short Exchange Traded Notes (ETNs) Linked To S&P Indices On NYSE Arca

Date 18/11/2009

NYSE Euronext (NYX) announced that its wholly-owned subsidiary, NYSE Arca, today began trading five new ETNs linked to the performance of the S&P 500® Total Return IndexSM. The ETNs are issued by Barclays Bank PLC.
First Automated Processing Service Available For UK funds

Date 18/11/2009

Euroclear UK & Ireland and EMXCo are eradicating the time-consuming, inefficient and unnecessarily expensive process of settling UK fund transactions. According to the HM Treasury, the UK funds industry could save GBP 70- 290 million per year by embracing processing automation in place of paper-based fund unit settlement. This potential saving is now a reality. Together, EMXCo and Euroclear have launched a fully electronic and integrated order routing and settlement solution for UK fund tran
Testimony Of Gary Gensler, Chairman, Commodity Futures Trading Commission Before The Senate Committee On Agriculture, November 18, 2009

Date 18/11/2009

Good morning Chairman Lincoln, Ranking Member Chambliss and members of the Committee. Thank you for inviting me to testify today regarding the regulation of over-the-counter derivatives. I also will provide this Committee with an update on our joint efforts with the Securities and Exchange Commission (SEC) to tailor our regulations in the best interest of the American public. I am pleased to testify on behalf of the Commodity Futures Trading Commission (CFTC).
London Stock Exchange To Launch New Retail Bond Market For The UK

Date 18/11/2009

The London Stock Exchange today announces that it will introduce a new order-driven trading service for bonds. This new electronic order book will be available for a select number of gilts and UK corporate bonds and will offer private investors with an on-screen secondary market in London-listed debt securities for the first time. This new service is expected to go live in February next year.