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Richard G. Ketchum, Chairman And Chief Executive Officer - Testimony Before The Committee On Banking, Housing, And Urban Affairs, United States Senate, March 26, 2009

Date 26/03/2009

Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
SIFMA Sees Parallels In Geithner And Industry Calls For Regulation

Date 26/03/2009

The Securities Industry and Financial Markets Association’s (SIFMA) head of global advocacy, Michael Paese, today released the following statement after Treasury testified on the need for financial regulatory reform:
CFTC Sanctions ADM Investor Services, Inc. $200,000 For Failing To Diligently Supervise Its Employees

Date 26/03/2009

The U.S. Commodity Futures Trading Commission (CFTC) today simultaneously filed and settled charges against ADM Investor Services, Inc. (ADMIS) for violating rules governing post-execution allocations, maintenance of books and records, and supervision of its employees. The CFTC order sanctioned ADMIS with a $200,000 civil monetary penalty, among other things.
SEC Halts $68 Million Ponzi Scheme Involving Caribbean-Based Bank And Swiss Affiliate

Date 26/03/2009

The Securities and Exchange Commission has obtained an emergency court order halting a $68 million Ponzi scheme involving the sale of fictitious high-yield certificates of deposit (CDs) by Caribbean-based Millennium Bank.
Component Changes Made To Dow Jones Select Dividend And Dow Jones Health Care Titans 30 Indexes

Date 26/03/2009

Dow Jones Indexes, a leading global index provider, today announced component changes in the Dow Jones EPAC Select Dividend, Dow Jones Italy Select Dividend 20 and Dow Jones Health Care Titans 30 indexes.

BATS Exchange Cuts Prices Announces $0.0001 Liquidity Rebate Per Share For Removing Liquidity In Shares Trading Below $5; Offers Low $0.0017 Rate To Get To NYSE Floor

Date 26/03/2009

BATS Exchange, an innovative and technology leading U.S. securities exchange, will cut prices as of April 1, 2009, offering a rebate of $0.0001 a share for removing liquidity in stocks priced below $5, and reducing pricing for its BATS + NYSE order type.
Suspension Of Central Japan Commodity Exchange Aluminum Trading

Date 26/03/2009

The trading of Aluminum futures contracts shall be suspended from March 27, 2009, as all the outstanding open interest was cleared today, the last trading day for the March Contract Month.
Tokyo Financial Exchange And Central Japan Commodity Exchange Sign MOU

Date 26/03/2009

The Central Japan Commodity Exchange (C-Com) and Tokyo Financial Exchange Inc. (TFX) today announced that they have signed a Memorandum of Understanding (MOU) to establish a cooperative relationship.
Program Trading Averaged 32.6 Percent Of NYSE Volume During Mar. 16-20

Date 26/03/2009

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 Mar. 16-20.
US Treasury Outlines Framework For Regulatory Reform - Provides New Rules Of The Road, Focuses First On Containing Systemic Risk

Date 26/03/2009

The crisis of the past 18 months has exposed critical gaps and weaknesses in our financial regulatory system. As risks built up, internal risk management systems, rating agencies and regulators simply did not understand or address critical behaviors until they had already resulted in catastrophic losses. These failures have caused a dramatic loss of confidence in our financial institutions and have contributed to severe recession. Our financial system failed to serve its historical purpose of he