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Program Trading Averaged 32.9 Percent Of NYSE Volume During July 13-17

Date 22/04/2010

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for July 13-17.
CFTC Charges Carmine Garofalo With Illegal Trading On A U.S. Exchange - Garofalo Also Charged With Options Fraud

Date 22/04/2010

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it charged Carmine Garofalo, an Italian citizen, with options fraud, engaging in fictitious transactions and trading noncompetitively in violation of the Commodity Exchange Act and CFTC regulations. Garofalo has never been registered with the CFTC.
SIFMA CEO Ryan Responds To Obama Reform Speech

Date 22/04/2010

The Securities Industry and Financial Markets Association (SIFMA) today released the following statement from SIFMA President and CEO Tim Ryan in reaction to President Barack Obama’s speech on financial regulatory reform.
San Diego Gas & Electric Company Agrees To Pay A Civil Penalty To Settle CFTC Charge That It Engaged In Wash Sales In The Natural Gas Futures Markets

Date 22/04/2010

The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against San Diego Gas & Electric Company (SDG&E), an investor-owned regulated utility, in San Diego, Calif., for engaging in wash sales of New York Mercantile Exchange (NYMEX) natural gas futures contracts.
SEC Charges Private Equity Firm And Money Manager For Defrauding Detroit-Area Public Pension Funds

Date 22/04/2010

The Securities and Exchange Commission today charged a private equity firm, a money manager and his friend with participating in a fraudulent scheme through which they stole more than $3 million invested by three Detroit-area public pension funds.

Deputy Secretary Neal S. Wolin - Remarks At The International Swaps And Derivatives Association 25th Annual Meeting

Date 22/04/2010

Thank you very much, Eraj, for that kind introduction. Good morning and thank you all for the opportunity to be here today.
Security Traders Association Outlines Principles To Drive Market Structure - Calls For National Market Surveillance System - Weighs In On SEC Market Structure Concept Release

Date 22/04/2010

In its meeting on April 22, 2010, The Board of Governors of the The Security Traders Association (STA), the leading advocacy and education organization for professional equity traders in the U.S., approved the initial response of the Association to the SEC’s Concept Release on Market Structure. A formal Comment Letter will be issued in due course.
FINRA Fines HSBC Securities (USA) $1.5 Million, US Bancorp $275,000 For Auction Rate Securities Violations - FINRA Found HSBC Sold ARS After Increased Risk Became Apparent - Both Firms Voluntarily Bought Back Over $700 Million In ARS From Customers

Date 22/04/2010

The Financial Industry Regulatory Authority (FINRA) announced today that it has settled charges with two additional firms relating to the sale of auction rate securities (ARS) that became illiquid when auctions froze in February 2008 – HSBC Securities (USA) and US Bancorp Investments, Inc.
UK's Financial Services Authority Imposes Fines Of £4.25m On Winterflood And Two Traders For Market Abuse Following Success In Court Of Appeal

Date 22/04/2010

The Financial Services Authority (FSA) today won its market abuse case in the Court of Appeal against Winterflood and two of its traders, Stephen Sotiriou and Jason Robins. The appeal hearing follows an earlier finding of market abuse by the Financial Services and Markets Tribunal (the Tribunal).
Thomson Reuters Strengthens Leadership Of Its Enterprise Business With Key Executive Appointments - Industry Executives Join To Further Accelerate Business Growth And Support New Global Network Launch

Date 22/04/2010

Thomson Reuters today announced the appointments of industry executives David Kelly, Roseann Palmieri and Tanya Ezekiel to the leadership team of the Enterprise business. These strategic appointments demonstrate the investment Thomson Reuters is making to accelerate the existing growth of the Enterprise business and the delivery of its next generation solutions.