News Centre

CFTC’s Division Of Market Oversight Issues Updated Guidebook For Part 20 Reports - Guidebook Provides Detailed Instructions For Submitting Large Swaps Trader Reports To The Commission

Date 05/06/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) today issued an updated version of the Guidebook for Part 20 Reports, which provides additional guidance and detailed instructions for submitting large swaps trader reports to the Commission.

FTSE MIB Index Quarterly Review - 5 June 2012

Date 05/06/2012

The FTSE Italia Index Policy Committee has approved the following changes to the FTSE MIB Index which will become effective after the close of business on Friday, 15 June 2012 (i.e. on Monday, 18 June 2012):

Inclusion/Inclusioni

There are no additions to the index

BM&FBOVESPA: ETF Financial Volume To May Surpasses Figure For Whole Of 2011 - The Exchange Offers ETFs That Track The Performances Of 13 Indices, Such As Ibovespa, The Dividend Index And The Sustainability Index

Date 05/06/2012

The financial volume accumulated this year by ETFs (investment funds in indices whose shares are traded on BM&FBOVESPA like stocks and which are accessible to all investors) has already surpassed by 5.78% the total traded over all of 2011. From January to May the ETF trading volume was BRL 12.8 billion, in 401,117 transactions. In 2011 there were 577,723  transactions and a financial volume of BRL 12.1 billion.

DTCC Appoints Former U.S. Ambassador Christopher J. LaFleur Special Advisor For Asian Government Relations & Regulatory Outreach - LaFleur To Manage Political & Policy Relationships In Asia Pacific Region

Date 05/06/2012

The Depository Trust & Clearing Corporation (DTCC) today announced the appointment of former U.S. Ambassador Christopher J. LaFleur as Special Advisor for Government Relations and regulatory outreach in the Asia Pacific region.

Instinet Enhances Newport’s U.S. Derivatives Trading Capabilities

Date 05/06/2012

Instinet Incorporated, a global leader in electronic trading and agency-only brokerage services, today announced the completion of the global rollout of the most recent version of its award-winning Newport^® execution management system (EMS). 

International Monetary Stability Key for Maintaining Global Growth Says New Report

Date 05/06/2012

• A new World Economic Forum report examines key challenges for the euro, dollar and yuan and their implications for global growth, investment and business environments.
• International monetary stability is at risk due to uncertain future international roles of these currencies, while policy choices within each currency area could radically alter global patterns of trade and capital movement.
• The full Euro, Dollar, Yuan Uncertainties: Scenarios on the Future of the International Monetary System report is available at http://wef.ch/EuroDollarYuanUncertainties

CFTC Orders Morgan Stanley & Co. LLC To Pay $5 Million Civil Monetary Penalty For Unlawful Noncompetitive Trades - Morgan Stanley Had Inadequate Supervisory Systems And Controls To Detect And Deter The Unlawful Conduct That Occurred Repeatedly Over 18-Months

Date 05/06/2012

The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges that, over an 18-month period, Morgan Stanley & Co. LLC (Morgan Stanley), a registered futures commission merchant (FCM), unlawfully executed, processed, and reported numerous off-exchange futures trades to the Chicago Mercantile Exchange (CME) and Chicago Board of Trade (CBOT) as exchanges for related positions (EFRPs). The CFTC order requires Morgan Stanley to pay a $5 million civil monetary penalty and to cease and desist from further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged.

Warsaw Stock Exchange Cross Order Trade Increasingly Popular

Date 05/06/2012

• Increasing cross order trade on the WSE two months since launch 
• Growing share of cross order trade in total session trading
  

Testimony Of FINRA Chairman And CEO Richard G. Ketchum Before The Committee On Financial Services

Date 05/06/2012

Chairman Bachus, Ranking Member Frank and Members of the Committee:

I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today on H.R. 4624, the Investment Adviser Oversight Act of 2012.

TSX Block List Leaders - May 2012

Date 05/06/2012

Block Trade Summaries

Block trades are large trades with a volume of 10,000 shares or more and a value of $100,000 or more. The TSX Block List Leaders lists shows the top ten brokers chosen by their customers to execute these significant block trades on Toronto Stock Exchange. For a full list of block trades for all brokers, get our Broker Block Summary.