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Program Trading Averaged 17.8 Percent Of NYSE Volume During Sept. 8-12

Date 18/09/2008

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 Sept. 8-12.
CFTC: Pennsylvania Resident Gary Scholze Ordered To Pay $1 Million Civil Monetary Penalty In Commodity Futures And Options Anti-Fraud Case - Federal Court Finds That Scholze Misappropriated Customer Funds

Date 18/09/2008

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a $1 million civil monetary penalty judgment against Pennsylvania resident Gary F. Scholze to settle a CFTC anti-fraud enforcement action. The order also permanently prohibits Scholze from trading, soliciting funds, and seeking registration with the CFTC or otherwise engaging in any commodity interest-related activity.
UK's Financial Services Authority Statement On Short Positions In Financial Stocks

Date 18/09/2008

The Board of the Financial Services Authority (FSA) today (Thursday 18 September) agreed to introduce new provisions to the Code of Market Conduct to prohibit the active creation or increase of net short positions in publicly quoted financial companies from midnight tonight.
CFTC Files Action To Revoke The Registration Of Portland, Oregon, Hedge Fund Beacon Rock Capital, LLC - CFTC Action Is Result Of The Fund’s Criminal Conviction For Fraudulent Market Timing In The Trading Of Mutual Funds

Date 18/09/2008

The U.S. Commodity Futures Trading Commission (CFTC) today revoked the registrations of Portland, Oregon hedge fund Beacon Rock Capital, LLC (Beacon Rock) as a Commodity Pool Operator and Commodity Trading Advisor. The CFTC’s Opinion and Order is based on Beacon Rock’s conviction in the first criminal case in U.S. history against a hedge fund for engaging in fraudulent market timing.
UK Government Acts On HBOS - Lloyds TSB Merger Proposals

Date 18/09/2008

Earlier today, the Secretary of State for Business and Enterprise John Hutton announced his intention to issue an intervention notice in the proposed merger of HBOS and Lloyds TSB on public interest grounds to ensure the stability of the UK financial system.

Comments By Monetary Authority Of Singapore Spokesperson On Market Conditions

Date 18/09/2008

USD borrowing rates in Singapore have been elevated following conditions in major money markets globally. With this afternoon's coordinated announcement from central banks in key jurisdictions, USD market pressures appear to have eased.
NYSE Euronext 2009 CEO Report Roundtable

Date 18/09/2008

The following CEO roundtable on the NYSE Euronext 2009 CEO Report featured commentary by: Daniel Amos, Chairman & CEO of Aflac Incorporated (NYSE: AFL), Trudy F. Sullivan, President & CEO of The Talbots, Inc. (NYSE: TLB) and Leigh Abrams, CEO of Drew Industries Incorporated (NYSE: DW). Each year the report looks at issues and challenges CEOs of NYSE Euronext-listed companies face as they chart the future course of their businesses.
CFTC: Joseph Clark Lavin And His Companies Ordered To Pay More Than $23 Million In Restitution And Civil Monetary Penalties In Retail Foreign Currency Options Case

Date 18/09/2008

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained an order imposing more than $23 million in restitution and civil monetary penalties against defendants Joseph Clark Lavin (a/k/a Joseph Ivcevic) and his companies: Global Asset Partners, LTD (a/k/a/, Global Asset Partners, LLC), Global Currency Trading Group, LLC, and Global Currency Trading Fund, LLC of Woodinville, Washington, for defrauding customers in an illegal foreign currency (forex) options scheme.
FINRA Announces Agreements In Principle With Five Firms To Settle Auction Rate Securities Violations

Date 18/09/2008

The Financial Industry Regulatory Authority (FINRA) announced today that it has reached agreements in principle with SunTrust Investment Services, Inc. and SunTrust Robinson Humphrey, Inc., both of Atlanta, GA, Comerica Securities, Inc. of Detroit, MI, First Southwest Company of Dallas, TX, and WaMu Investments, Inc., of Irvine, CA, to settle charges relating to the sale of Auction Rate Securities (ARS). Each of the principle agreements is subject to being formalized in an approved settlemen
Invesco PowerShares Lists Six New Exchange Traded Funds On The NASDAQ Stock Market - The Most Liquid U.S. Market For ETFs

Date 18/09/2008

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today announced that The NASDAQ Stock Market(r) (NASDAQ(r)) has listed six new exchange-traded funds (ETF) sponsored by Invesco PowerShares Capital Management LLC -- a leading provider of ETFs.