News Centre

TMX Group Top 20 Largest - Consolidated Short Position Report – Highlights - October 31, 2012

Date 06/11/2012

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending October 31, 2012..

SEC Announces Assistance To Filers Affected By Hurricane Sandy

Date 05/11/2012

In a continuing effort to provide assistance to individuals and entities attempting to comply with filing and other obligations under the federal securities laws in the aftermath of Hurricane Sandy, the SEC today said it is preparing relief measures that would extend filing deadlines for those affected by Hurricane Sandy and its aftermath.

Financial Stability Board Reports To G20 On Progress Of Financial Regulatory Reforms

Date 05/11/2012

The Chairman of the Financial Stability Board (FSB) reported to the G20 Finance Ministers and Central Bank Governors today on progress in the financial regulatory reform programme.

Direct Edge Trading Notice #12-50: Update to Trading Notice #12-43

Date 05/11/2012

As discussed in Direct Edge Trading Notice #12-43 , Direct Edge will be making certain system changes to ensure the consistency with Exchange Rule 11.8(a)(2).  Due to the impact of Hurricane Sandy and ensure appropriate testing, the anticipated implementation date of this change has been revised toTuesday, November 13, 2012.  A Trading Notice will be issued when the System change has been fully implemented.  

Remarks To The ALI CLE 2012 Conference On Life Insurance Company Products By Norm Champ Director, Division Of Investment Management U.S. Securities And Exchange Commission

Date 05/11/2012

I. Introduction

Good morning and thank you for inviting me to speak to you today. Before I begin, let me remind you that the views I express are my own and do not necessarily reflect the views of the Commission, any of the Commissioners, or any of my colleagues on the staff of the Commission.

SIFMA Market Close Recommendations For The US Veterans Day Holiday In The US, The UK And Japan

Date 05/11/2012

In observance of the US Veterans Day Holiday, SIFMA made holiday recommendations in the U.S., U.K., and Japan. 

Toronto Stock Exchange And TSX Venture Exchange Complete 2012 Canadian Financing Series In Vancouver

Date 05/11/2012

Toronto Stock Exchange and TSX Venture Exchange complete their 2012 Canadian Financing Series, "A Growth Platform for Canadian Entrepreneurs", in Vancouver on Thursday, November 8, 2012.

Borsa Italiana: TOL Expo Sees Record Number Of Attendees

Date 05/11/2012

• Tenth edition of TOL Expo
• More than 5000 attendees
• All 70 meetings over subscribed

Transparency Regulations - Unwinding Of Delegation Agreement Between Irish Stock Exchange And Central Bank Of Ireland

Date 05/11/2012

In line with EU requirements, the Central Bank of Ireland (the “Central Bank”) and the Irish Stock Exchange (the “ISE”) today announced that they have successfully completed a joint project to unwind a delegation arrangement between the Central Bank and the ISE relating to the performance of certain tasks under the Transparency (Directive 2004/109/EC) Regulations 2007 (the Transparency Regulations).  These delegated tasks have been carried out by the ISE on behalf of the Central Bank since 2007. 

FINRA Files Cease-And-Desist Order Against WR Rice Financial Services And Its Owner Joel Wilson For Fraudulent Conduct - FINRA Also Issues Complaint Charging Wilson And WR Rice Financial With Fraudulent Sales Of Limited Partnerships Wilson Controlled

Date 05/11/2012

The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a Temporary Cease-and-Desist Order (TCDO) to halt further fraudulent sales activities by Michigan-based WR Rice Financial Services and its owner Joel I. Wilson, as well as the conversion of investors' funds or assets. FINRA also issued a complaint against WR Rice and Wilson charging fraud in the sales of limited partnership interests in entities affiliated with the Diversified Group and American Realty Funds Corporation, companies in which Wilson has ownership interest and control. FINRA is filing the TCDO based on the belief that ongoing customer harm and depletion of customer assets would likely continue before a formal disciplinary proceeding against WR Rice and Wilson could be completed.