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  • ICE Futures Canada: 2008 Christmas/New Year’s Trading Schedule - Futures And Options Markets

    Date 30/10/2008

    Wednesday, December 24/08: Early Close at 12:00 noon CT Thursday, December 25/08: CLOSED Friday, December 26/08: CLOSED Wednesday, December 31/08: Early Close at 12:00 noon CT Thursday, January 1/09: CLOSED

  • SEC Charges Lazard Capital Markets, Former Employees For Improper Gifts And Entertainment To Fidelity Employees

    Date 30/10/2008

    The Securities and Exchange Commission today charged privately-held, registered broker-dealer Lazard Capital Markets LLC with failing to supervise three employees who collectively spent more than $600,000 while improperly entertaining traders at Fidelity Investments in an effort to generate brokerage business. The SEC also charged the three employees and a supervisor for their roles in securities laws violations by Fidelity traders.

  • SEC, NASAA Announce IARD System Fee Waiver

    Date 30/10/2008

    The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) today announced they will waive the initial set-up and annual system fees paid by investment adviser firms to maintain the Investment Adviser Registration Depository (IARD) system. Separately, NASAA announced that for next year it will also waive those system fees paid by investment adviser representatives (IARs).

  • SEC Sues Miami Resident For Conducting Multi-Million Dollar Ponzi Scheme

    Date 30/10/2008

    The Securities and Exchange Commission today charged Miami resident Andres L. Pimstein and two private companies, The Bottom Line of South Florida, Inc. and Summit Trading LLC, with securities fraud for conducting a $30 million Ponzi scheme.

  • Program Trading Averaged 16.4 Percent Of NYSE Volume During Oct. 20-24

    Date 30/10/2008

    The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for Oct. 20-24.