News Centre

T.R. Lazo Joins SIFMA As Managing Director

Date 26/06/2012

SIFMA today announced that it has appointed T.R. Lazo as Managing Director and Associate General Counsel.

Federal Court In Florida Orders Over $2.5 Million In Sanctions Against Abraham Gutterman And His Companies For Commodity Options Fraud And Misappropriation - Court Order Permanently Bars Gutterman And His Companies, Alliance Capital Metals LLC And AR Goldman Wealth Management, LLC, From The Commodities Industry

Date 26/06/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Marcia G. Cook, of the U.S. District Court for the Southern District of Florida, entered an order of default judgment and permanent injunction against Abraham Gutterman, who currently resides in Brooklyn, NY, and his companies, Alliance Capital Metals LLC (ACM) and AR Goldman Wealth Management, LLC(ARGWM), both of South Florida. The order stems from a CFTC complaint filed against the defendants on March 15, 2012, in connection with a fraudulent gold and oil commodity options scheme (see CFTC Press Release6213-12, March 20, 2012).

SEC Charges Founder Of Equity Research Firm With Insider Trading

Date 26/06/2012

The Securities and Exchange Commission today charged Tai Nguyen, the owner of the California-based equity research firm Insight Research, with insider trading. The charges stem from the SEC’s ongoing investigation of insider trading involving so-called “expert networks” that provide specialized information to investment firms.

NYSE Group Inc. Issues Short Interest Report

Date 26/06/2012

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of June 15, 2012.

NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date June 15, 2012

Date 26/06/2012

At the end of the settlement date of June 15, 2012, short interest in 2,219 NASDAQ Global Market^SM securities totaled 7,377,726,620 shares compared with 7,347,012,533 shares in 2,230 Global Market issues reported for the prior settlement date of May 31, 2012. The mid-June short interest represents 4.44 days average daily NASDAQ Global Market share volume for the reporting period, compared with 3.84 days for the prior reporting period.

NYSE MKT Issues Short Interest Report

Date 26/06/2012

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of June 15, 2012.

Hong Kong's Securities and Futures Commission Seeks Court Orders Against former Chairman and Chief Executive Officer of China Asean Resources Limited

Date 26/06/2012

Seadrill Limited Added To Dow Jones Global Select Dividend Index

Date 26/06/2012

Norway’s SeaDrill Ltd. will be added to the Dow Jones Global Select Dividend Index, Dow Jones Indexes announced today.

Remarks To The IRI 2012 Government, Legal & Regulatory Conference By Susan Nash Associate Director, Division Of Investment Management U.S. Securities And Exchange Commission

Date 26/06/2012

Thank you, Dan, for that kind introduction, and good morning. I bring  greetings and regrets from Eileen Rominger, who very much wanted to be here.  Before I begin, I must note that my remarks today represent my own views and do  not necessarily reflect the views of the Commission, any of the Commissioners,  or any other member of the Commission staff.

CBOE Holdings, Inc. Announces Date Of Second-Quarter 2012 Earnings Release And Conference Call

Date 26/06/2012

CBOE Holdings, Inc. (NASDAQ: CBOE) will announce financial results for the second quarter of 2012 before the market opens on Thursday, August 2, 2012. A conference call with remarks by CBOE Holdings, Inc. senior management will begin at 7:30 a.m. Central Time. A presentation will be referenced during the call and will be available on the Investor Relations section of our website at http://ir.cboe.com under  Events and Presentations.