FTSE Mondo Visione Exchanges Index:
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Date 04/10/2011
OneChicago Announces Trading Volumes For September 2011 - OneChicago Now Lists 2,800 Products, Including 400 ETFs And More Than 1,300 Products In OCX.NoDivRisk Suite
OneChicago, LLC (OCX), an equity finance exchange, today announced that a total of 182,157 security futures contracts were traded in the month of September 2011.
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Date 04/10/2011
FINRA Issues Investor Alert On Public Non-Traded REITs
The Financial Industry Regulatory Authority (FINRA) today issued a new Investor Alert called Public Non-Traded REITs-Perform a Careful Review Before Investing to help investors understand the benefits, risks, features and fees of these investments. While investors may find non-traded REITs appealing due to the potential opportunity for capital appreciation and the allure of a robust distribution, investors should also realize that the periodic distributions that help make non-traded REITs so appealing can, in some cases, be heavily subsidized by borrowed funds and include a return of investor principal. Additionally, early redemption of shares is often very limited, and fees associated with the sale of these products can be high and erode total return.
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Date 04/10/2011
SIFMA Market Close Recommendations For The US Columbus Day And Japanese Sports Day Holidays In The US, The UK And The Japanese Markets
In observance of the US Columbus Day and Japanese Sports Day holidays, SIFMA made holiday recommendations in U.S., U.K., and Japan.
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Date 04/10/2011
TMX Group – Consolidated Trading Statistics September 2011 - Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Montreal Exchange, Natural Gas Exchange - Montreal Exchange Achieves Monthly Trading Volume Records
TMX Group Inc. today announced September trading statistics for its diversified group of exchanges – Toronto Stock Exchange, TSX Venture Exchange, Montreal Exchange (MX) and Natural Gas Exchange (NGX), as well as TMX Select, TMX Group’s alternative trading system.
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Date 04/10/2011
A.G. Schneiderman & NYC Sue Bank Of New York Mellon For Defrauding Pension Funds, Other Customers In Foreign Currency Trading - BNY Mellon Promised Customers “Best Rate” On Foreign Currency Exchange Transactions – Instead Gave Worst & Pocketed Difference - A.G. Seeks Nationwide Recovery of Nearly $2 Billion
Attorney General Eric T. Schneiderman and the City of New York today filed a lawsuit against the Bank of New York Mellon (BNY Mellon) for defrauding clients in foreign currency exchange transactions. The lawsuit seeks to recover the profits BNY Mellon illegally earned by deceiving its customer. The victims include both public and private pension funds, including those of the New York City Employee Retirement System (NYCERS) and the State University of New York.
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Date 04/10/2011
BVMF Ended September With 33.82% Institutional Investors Of The Total Volume
In September, institutional investors were responsible for 33.82% of the total volume. Foreign investors came next, with 33.78%; individual investors had 22.94%; financial institutions, with 7.66%; companies, with 1.75%; and other types of investors with 0.04%.
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Date 04/10/2011
FINRA Fines Merrill Lynch $1 Million For Supervisory Failures That Allowed A Registered Representative To Operate A Ponzi Scheme
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.
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Date 04/10/2011
FINRA Names Gerri Walsh President Of The FINRA Foundation, Head Of Investor Education
The Financial Industry Regulatory Authority (FINRA) announced today that Gerri Walsh has been named President of the FINRA Investor Education Foundation and head of FINRA's Investor Education division. Walsh will be taking over these two positions from John Gannon, who left FINRA earlier this year.
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Date 04/10/2011
CFTC: Federal Court Orders Convict Perry Jay Griggs And His Wife To Pay $2.1 Million Civil Penalty For Multi-Million Dollar Commodity Pool Fraud And Misappropriation - In A Related Criminal Proceeding, Perry Griggs Sentenced To 87 Months Imprisonment, And His Wife Rachelle Sentenced To 48 Months Imprisonment.
The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court consent order requiring defendants Perry Jay Griggs, his wife, Rachelle Griggs, and their company, Aloha Trading Company, Inc. (Aloha), all of Las Vegas, Nev., to jointly and severally pay a $2.1 million civil monetary penalty to settle CFTC charges that they operated a multi-million dollar commodity futures Ponzi scheme (see CFTC Press Release 5929-11, October 29, 2010).
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Date 04/10/2011
Michael A. Conley Named SEC's Deputy General Counsel
The Securities and Exchange Commission announced today that Michael A. Conley has been named a Deputy General Counsel in the SEC’s Office of General Counsel.
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