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  • Comments By European Commission Vice-President Olli Rehn On The Publication Of Spanish Structural Reform Plan

    Date 27/09/2012

    "The comprehensive reform plan announced today by the Spanish authorities is a major step to broaden and deepen structural reforms, building on important achievements made already. The reform plan includes concrete, ambitious and well-focused measures and establishes clear deadlines in many areas."

  • SEC Issues Report On Brokerage Firms' Handling Of Confidential Information

    Date 27/09/2012

    The Securities and Exchange Commission today issued a staff report intended to help broker-dealers safeguard confidential information from misuse, such as insider trading. The report by the Office of Compliance Inspections and Examinations (OCIE) describes strengths and weaknesses identified in examinations into how broker-dealers keep material nonpublic information from being misused.

  • Remarks By Finra Chairman And CEO Richard G. Ketchum From The SIFMA Complex Products Forum

    Date 27/09/2012

    Good morning, and thank you, John [Maurello], for the introduction and invitation to join you here today.

    I'm pleased to have this opportunity to talk to you about complex products in the retail market. Complex products have grown in importance as retail customers search for yield and firms look for innovative products to meet this demand and generate revenue. Firms and regulators have had a long and, pardon the pun, complex relationship with these products. We've been talking about the evolution and regulation of complex products for many years. While our discussions may have intensified recently in the current low-yield environment, I recall similar conversations as early as the 1970s, when I was at the SEC.

  • Program Trading Averaged 48.6 Percent Of NYSE Volume During Sept. 17-21

    Date 27/09/2012

    The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released  its weekly program-trading data compiled from member firms' executed volume from  NYSE's orders database. The report includes trading on the NYSE for Sept. 17-21.

  • CFTC: Florida Federal Court Orders Claudio Aliaga And His Company, CMA Capital Management, LLC, To Pay $5.5 Million In Penalties And Restitution For Operating A Forex Ponzi Scheme

    Date 27/09/2012

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a judgment for $5.5 million in restitution and civil monetary penalties against Claudio Aliaga and CMA Capital Management, LLC (CMA), of Miami Lakes, Florida, to settle an action charging defendants with operating a Ponzi scheme involving the fraudulent solicitation of at least $4.5 million from at least 125 individuals to invest in foreign currency (forex) managed accounts and/or a pooled investment (see CFTC Press Release 5807-10, April 12, 2010).