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FINRA Fines Three Firms Over $1.25 Million For Failing To Detect, Investigate And Report Suspicious Transactions In Penny Stocks - J.P. Turner, Park Financial, Legent Clearing Ignored Indications Customers May Have Been Engaged In Illegal Conduct Two Ind

Date 04/06/2009

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three broker-dealers — J.P. Turner & Co., of Atlanta, Park Financial Group, Inc., of Maitland, FL, and Legent Clearing, LLC, of Omaha — for failing to implement reasonable anti-money laundering (AML) compliance programs, including the failure to detect, investigate and report instances of potentially suspicious transactions in low-priced stocks.
BATS Exchange Releases BOLT

Date 04/06/2009

BATS Exchange announces the release of its BOLT (BATS Optional Liquidity Technology) pre-routing display strategy, effective Friday, June 5th.
SIFMA Supports Many Derivatives Reforms

Date 04/06/2009

Tim Ryan, President and CEO of the Securities Industry and Financial Markets Association (SIFMA), today released the following statement in conjunction with hearings in the Senate Agriculture Committee on regulatory reform and the derivatives markets: “Restoring stability and confidence in the economy remains our highest priority. We need smart regulatory reform that provides additional oversight of the derivatives market and greater transparency of all derivatives products for reg
CFTC: Subcommittee On Convergence To Convene First Public Session

Date 04/06/2009

On Monday, June 8, 2009, from 1:00 p.m. to 4 p.m., members of the Subcommittee on Convergence in Agricultural Commodity Markets will conduct their first public conference call.
TSX Venture Exchange Market Statistics For The Month Of May 2009

Date 04/06/2009

To view a summary of market statistics for May 2009 for TSX Venture Exchange, please click on the "Related Documents" link below to access the PDF file.

SEC Office Of The Chief Accountant Releases Staff Accounting Bulletin

Date 04/06/2009

The Securities and Exchange Commission's Office of the Chief Accountant today announced the release of Staff Accounting Bulletin (SAB) No. 112.
ProShare Advisors Lists Four ProShares Ultra ETFs On NYSE Arca

Date 04/06/2009

NYSE Euronext (NYX) announced that its wholly-owned subsidiary, NYSE Arca, today began trading four Ultra ProShares ETFs , sponsored by ProShare Advisors LLC.
CME Group Announces The Launch Of Clearing Services For 18 New Electricity Swap Futures

Date 04/06/2009

CME Group, the world's largest and most diverse derivatives exchange, today announced the launch of clearing services for 18 new, financially-settled, electricity swap futures contracts through CME ClearPort®, a set of flexible clearing services open to over the counter (OTC) market participants to substantially mitigate counterparty risk and provide capital efficiencies across asset classes. Beginning on June 14 for trade date June 15, 16 ERCOT and two Midwest ISO swap futures contracts will
Emissions Trading: Public Consultation On Future EU ETS Auctioning Rules Launched

Date 04/06/2009

A public consultation on rules to govern the future auctioning of emission allowances under the EU Emissions Trading System (EU ETS) has been launched by consultants working for the European Commission. The consultation forms part of the Commission's preparation of a Regulation on auctioning of allowances with respect to the third and later trading periods. In accordance with the revision
Barclays Capital Joins NYSE Arca Options As A Lead Market Maker

Date 04/06/2009

NYSE Euronext (NYX) today announced that Barclays Capital has expanded its presence on NYSE Arca options by becoming a Lead Market Maker (LMM ). Barclays Capital operates market making business on both NYSE Arca and NYSE Amex options, where it is also a specialist, as well as their equities-based Designated Market Maker (DMM ) business on the NYSE.