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  • SEC Charges Daimler AG With Global Bribery

    Date 01/04/2010

    The Securities and Exchange Commission today announced a settlement with Daimler AG for violations of the Foreign Corrupt Practices Act (FCPA), alleging that the Stuttgart, Germany-based automobile manufacturer engaged in a repeated and systematic practice of paying bribes to foreign government officials to secure business in Asia, Africa, Eastern Europe and the Middle East.

  • FINRA Fines Scottrade $200,000 For Pattern Day Trading Violations - Firm Also Improperly Extended Credit To Cash Account Customers

    Date 01/04/2010

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Scottrade, Inc. $200,000 for violating pattern day trading margin rules and for extending credit to customers in violation of federal securities laws and banking regulations.

  • Kathleen Griffin Named SEC's First Chief Compliance Officer

    Date 01/04/2010

    The Securities and Exchange Commission today announced that Kathleen M. Griffin has been named the agency's first Chief Compliance Officer — the latest in a series of measures undertaken to strengthen the SEC's internal compliance program.

  • Kansas City Board Of Trade Posts Third-Largest March HRW Wheat Trading Volume

    Date 01/04/2010

    The Kansas City Board of Trade’s Hard Red Winter Wheat futures trading volume for the month of March was the third largest in the exchange’s history for the calendar month. A total of 273,549 HRW wheat futures contracts were traded during the month of March, behind only March 2006 and 2009 trading volumes of 363,605 contracts and 280,459 contracts, respectively.

  • Program Trading Averaged 24.2 Percent Of NYSE Volume During Mar. 22-26

    Date 01/04/2010

    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 Mar. 22-26.