News Centre

British Columbia Securities Commission Publishes Final Recognition Orders Regarding Maple Group Application

Date 11/07/2012

The British Columbia Securities Commission today published its final notice regarding the application by Maple Group Acquisition Corporation. The BCSC focused on the impact that Maple’s acquisition of the TMX Group Inc, and the Canadian Depository for Securities Limited and the CDS Clearing and Depository Services (jointly known as CDS) will have on the Canadian venture market.

Alberta Securities Commission Issues Final Orders Regarding Maple Group Application

Date 11/07/2012

The Alberta Securities Commission (ASC) today issued its orders relevant to the proposed acquisition of TMX Group Inc. by Maple Group Acquisition Corporation.

FINRA Statement On Consolidated Audit Trail

Date 11/07/2012

The SEC's adoption of a consolidated audit trail through the development of a National Market System (NMS) plan is an important step that will enhance regulators' ability to conduct surveillance of trading activity across multiple markets and perform market reconstruction and analysis.  FINRA looks forward to working with the other SROs to submit an NMS plan that will help close the regulatory data gaps that exist today. FINRA believes that comprehensive intermarket surveillance is essential to ensuring the overall integrity of the U.S. securities markets and maintaining the confidence of investors in those markets.

CFTC Charges Houston-Based Christopher Daley And His Company, TC Credit Service, LLC, With Solicitation Fraud And Misappropriation In $1.4 Million Dollar Commodity Pool Scheme - Federal Court Enters Order Freezing Defendants’ Assets And Preserving Books And Records

Date 11/07/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of an anti-fraud enforcement action in the U.S. District Court for the Southern District of Texas, chargingChristopher D. Daley (Daley) of Houston, Texas, and his firm, TC Credit Service, LLC (TCCS) (doing business as Del-Mair Group, LLC) with operating a commodity pool scheme that fraudulently solicited and accepted approximately $1.4 million from the public. Daley was owner and sole employee of TCCS, and none of the defendants has ever been registered with the CFTC.

NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date June 29, 2012

Date 11/07/2012

t the end of the settlement date of June 29, 2012, short interest in 2,210 NASDAQ Global Market^SM securities totaled 7,338,339,434 shares compared with 7,377,726,620 shares in 2,219 Global Market issues reported for the prior settlement date of June 15, 2012. The end-of-June short interest represents 4.09 days average daily NASDAQ Global Market share volume for the reporting period, compared with 4.44 days for the prior reporting period.

NYSE Group Inc. Issues Short Interest Report

Date 11/07/2012

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of June 29, 2012.

SEC Approves New Rule Requiring Consolidated Audit Trail To Monitor And Analyze Trading Activity

Date 11/07/2012

The Securities and Exchange Commission today voted to require the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail that will significantly enhance regulators’ ability to monitor and analyze trading activity.

SIFMA Applauds Revised SEC Consolidated Audit Trail Rule

Date 11/07/2012

SIFMA today released the following statement from Executive Vice President Randy Snook after the Securities and Exchange Commission (SEC) approved a final rule requiring the SROs to establish a consolidated audit trail.  

Opening Statement At SEC Open Meeting: Consolidated Audit Trail By SEC Chairman Mary L. Schapiro

Date 11/07/2012

Good morning. This is an open meeting of the Securities and Exchange Commission on July 11, 2012.

Today, we will consider a recommendation to significantly enhance our ability to regulate the nation’s equity markets.

NYSE MKT Issues Short Interest Report

Date 11/07/2012

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of June 29, 2012.