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FINRA Announces Creation Of "Office Of The Whistleblower" - Dedicated Team To Handle High-Risk Tips

Date 05/03/2009

The Financial Industry Regulatory Authority (FINRA) announced today that it has established a new Office of the Whistleblower to expedite the review of high-risk tips by FINRA senior staff and ensure a rapid response for tips believed to have merit.
BOX Reports Gains In Volume, Market Share

Date 05/03/2009

In the month of February, BOX market share in BOX-traded classes was 6.1%, which represented a 15% gain over the same period last year. In terms of volume, average daily trading on BOX increased 31% over the same period last year, as well as 3% on a month-to-month basis. This is mainly due to continued strong performances in heavily traded ETFs such as SPY, QQQQ, and IWM.
BM&FBOVESPA: New Trading Hours – BOVESPA Market Segment

Date 05/03/2009

In view of the end of daylight saving time in Brazil and the beginning of daylight saving time in the United States , as of March 9, 2009 the equity electronic trading floor at BM&FBOVESPA will operate, uninterruptedly, from 10 a .m. to 5 p.m. (Brasília time). The after-market will operate from 5:30 a.m. to 7:00 p.m. (Brasília time).
SEC Obtains Emergency Asset Freeze To Halt Multi-Million Dollar Real Estate Investment Fraud

Date 05/03/2009

The Securities and Exchange Commission has charged Los Angeles resident Bruce Friedman and two of his companies with securities fraud, and obtained an emergency court order to freeze their assets and halt an alleged ongoing investment scheme involving purported real estate and mortgage lending ventures.
BM&FBOVESPA Monthly Operational Figures Report - February, 2009

Date 05/03/2009

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Joaquín Almunia, European Commissioner For Economic And Monetary Policy - The crisis And Beyond: What Priorities For European Financial Markets? - 2nd Financial Centre Meeting, Frankfurt, 5 March 2009

Date 05/03/2009

Ladies and gentlemen, It gives me great pleasure to join you this afternoon in Frankfurt. When I received the invitation for this conference last autumn, the financial crisis was at its height. The European banking sector was on the verge of collapse. And there were increasing signs that the financial turmoil could impact economic growth.
CFTC And FSA Welcome IOSCO Proposals To Boost Regulation Of Commodity Futures Markets

Date 05/03/2009

The Commodity Futures Trading Commission (CFTC) and the Financial Services Authority (FSA) today welcomed the proposals published by the International Organization of Securities Commissions’ (IOSCO) Technical Committee recommending improved supervision of the commodity futures markets and better global cooperation towards this end. The proposals were developed by the IOSCO Task Force on Commodity Future Markets (Task Force), currently co-chaired by the CFTC and FSA.
SEC Revamping Process For Reviewing Whistleblower Complaints And Enforcement Tips

Date 05/03/2009

Securities and Exchange Commission Chairman Mary L. Schapiro announced today that the agency is moving to improve the handling of whistleblower complaints and enforcement tips in order to better protect investors.
CFTC Charges Ponzi Scheme In Mansfield, Texas, Caused More Than 250 Investors To Lose At Least $10.9 Million - Court Freezes Defendants’ Assets And Appoints Receiver

Date 05/03/2009

The U.S. Commodity Futures Trading Commission (CFTC) today charged Ray M. White and CRW Management, LP (CRW), both of Mansfield, Texas, with operating a Ponzi scheme involving the solicitation of at least $10.9 million from more than 250 investors to trade off-exchange foreign currency contracts (forex).
IOSCO Publishes Recommendations To Enhance Commodity Futures Markets Oversight

Date 05/03/2009

The International Organization of Securities Commissions’ (IOSCO) Technical Committee has today published a final report prepared by its Task Force on Commodity Futures Markets (Task Force) which contains recommendations to improve the supervision of commodity futures markets and global regulatory cooperation.