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  • SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers - Eight Years After Passage of the Gramm-Leach-Bliley Act, Key Provisions Will Now Be Implemented

    Date 19/09/2007

    Ending eight years of stalled negotiations and impasse, the Commission today voted to adopt, jointly with the Board of Governors of the Federal Reserve System (Board), new rules that will finally implement the bank broker provisions of the Gramm-Leach-Bliley Act of 1999. The Board will consider these final rules at its Sept. 24, 2007 meeting. The Commission and the Board consulted with and sought the concurrence of the Office of the Comptroller of the Currency, Federal Deposit Insurance Corpo

  • CME Group Listed On InformationWeek 500 For Fourth Consecutive Year

    Date 19/09/2007

    CME Group, the world's largest and most diverse exchange, today announced that it has been named to the InformationWeek 500. This is the fourth consecutive year the exchange has been named to this prestigious list of technology innovators. The top 2007 InformationWeek 500 companies will be revealed at a gala awards ceremony held during the InformationWeek 500 Conference in Tucson, Arizona from September 16-19.

  • HSBC Bank Settles SEC Charges And Agrees To Pay $10.5 Million

    Date 19/09/2007

    The Securities and Exchange Commission today announced settled enforcement proceedings against HSBC Bank USA, N.A., which will pay a $10 million civil penalty and approximately $500,000 in disgorgement for allowing its name and logo to be used in connection with a Florida-based offering fraud by Pension Fund of America, L.C. (Pension Fund), that was directed primarily at Central and South American investors.

  • Nyse Arca Options Penny Pilot Outperforms Pricing Competition Nationally - Exclusively Displays The Best Bid And Offer Four Times More Often Than Any Other Exchange

    Date 19/09/2007

    NYSE Euronext (NYSE Euronext: NYX) today announced that, according to the Transaction Auditing Group, Inc. (TAG), NYSE Arca Options has consistently offered the best price four times more often than any other market center for options that are included in the SEC’s penny pilot program. Across all 13 pilot securities, NYSE Arca Options was, on average, alone at the National Best Bid 6.3% of the time and alone at the National Best Offer 6.2% of the time. Additionally, NYSE Arca displayed pri

  • NYMEX Comments On CFTC Hearing On Oversight Of Exchanges, ECMs

    Date 19/09/2007

    The New York Mercantile Exchange, Inc. (NYMEX) commends the CFTC for seeking to obtain industry input at its public hearing today on unregulated exempt commercial markets or ECMs. Over the last few months, a broad and growing consensus has developed that certain products traded on ECMs and also on regulated futures exchanges are tightly linked and effectively result in one broader derivatives market. This new reality creates serious regulatory problems both for regulated exchanges as well as