News Centre

Remarks By FINRA Executive Vice President Thomas M. Selman At The IRI Government, Legal And Regulatory Conference

Date 27/06/2012

Thank you, Pat [Kelly, Vice President and Chief Compliance Officer, Prudential Annuities] for that introduction, and thanks also to IRI for the invitation to speak here today.

One hundred years ago, the "Titanic" struck an iceberg and sank on her maiden voyage. During the night of April 15, 1912, more than fifteen hundred men, women and children perished in the lethally cold waters of the North Atlantic. Much has been written about the causes of this tragedy. The rivets installed in the shipyard were defective. The captain was reckless. The White Star Line—owner of the Titanic—was overconfident of the ship's sea-worthiness.

S&P Indices Announces Changes In The S&P/TSX Canadian Indices - A Deletion From The S&P/TSX Venture Composite And Venture Select Indices

Date 27/06/2012

S&P Canadian Index Services will make the following changes in the S&P/TSX Canadian Indices:

The shareholders of Lithium One Inc. (TSXVN:LI) have approved the Plan of Arrangement whereby the company will be acquired by Galaxy Resources Limited (ASX:GXY) in a share exchange. Lithium One will be removed from the S&P/TSX Venture Composite and Venture Select Indices after the close of trading on Friday, June 29, 2012. 

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

Date 27/06/2012

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

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

Date 27/06/2012

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

Component Change Made In STOXX Global Select Dividend 100 Index

Date 27/06/2012

STOXX Limited, the market-moving provider of innovative, tradable and global index concepts, today announced component changes in the STOXX Global Select Dividend 100 Index which will become effective with the open of markets on July 2^nd, 2012.

SEC Charges Long Island Software Company In Connection With Bribery Scheme

Date 27/06/2012

The Securities and Exchange Commission today charged that FalconStor Software, Inc., a Long Island, N.Y., data storage company, misled investors about bribes it paid to obtain business with a subsidiary of J.P. Morgan Chase & Co.

Direct Edge Trading Notice #12-25: Attributed Quoting To Be Available On EDGA And EDGX Exchanges

Date 27/06/2012

Direct Edge will introduce attribution functionality to EDGA Exchange (EDGA) and EDGX Exchange (EDGX) effective on or about September 2012, pending filing with the Securities and Exchange Commission (SEC). This new functionality will enhance the Direct Edge Market Maker Program, allowing Market Makers to identify themselves as willing to buy and sell securities on the exchanges to facilitate making continuous two-sided markets. Attribution will also be available to non-market makers who wish to increase their transparency on the orders they send to EDGA and/or EDGX.

SEC: Philip A. Falcone And Harbinger Charged With Securities Fraud

Date 27/06/2012

The Securities and Exchange Commission today filed fraud charges against New York-based hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners LLC for illicit conduct that included misappropriation of client assets, market manipulation, and betraying clients. The SEC also charged Peter A. Jenson, Harbinger’s former Chief Operating Officer, for aiding and abetting the misappropriation scheme. Additionally, the SEC reached a settlement with Harbinger for unlawful trading.

José Manuel Durão Barroso President Of The European Commission - Statement By President Barroso Following His Meeting With Martin Schulz, President Of The European Parliament

Date 27/06/2012

Good afternoon ladies and gentlemen,

We just had a very positive meeting ahead of the European Council tomorrow.

Statement By The Eurogroup On Spain

Date 27/06/2012

Ministers welcome the request of the Spanish Government for financial assistance from euro-area Member States. Ministers  welcome the assessment provided by the Commission, in liaison with the ECB, EBA and the IMF, that the eligibility conditions for access to an EFSF/ESM financial assistance for the re-capitalisation of financial institutions are satisfied. In line with this, Ministers consider that providing assistance to Spain is warranted to safeguard financial stability in the euro area.