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Date 03/02/2011
SEC Charges TD Ameritrade For Failing To Supervise Its Representatives Who Sold Shares Of The Reserve Yield Plus Fund
The Securities and Exchange Commission today charged TD Ameritrade Inc. for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the Reserve Yield Plus Fund, a mutual fund that "broke the buck" in September 2008.
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Date 03/02/2011
Ronald Yank Joins CalPERS Board
Ronald Yank became an ex officio member of the CalPERS Board of Administration upon his appointment by Governor Jerry Brown as Director of the Department of Personnel Administration on January 5, 2011.
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Date 03/02/2011
SEC Charges AXA Rosenberg Entities For Concealing Error In Quantitative Investment Model - Firms Agree To Pay More Than $240 Million To Settle SEC Charges
The Securities and Exchange Commission today charged three AXA Rosenberg entities with securities fraud for concealing a significant error in the computer code of the quantitative investment model that they use to manage client assets. The error caused $217 million in investor losses.
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Date 03/02/2011
European Parliament: Sustained Commitment Needed For Financial Watchdogs To Succeed
MEPs on Wednesday night sought to extract firm commitments from the Member States and the Commission that they would respect the spirit and not only the rules of the deal hammered out in September to establish new EU financial watchdogs.
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Date 03/02/2011
SEC Brings Expert Network Insider Trading Charges - Moonlighting Employees Passed Company Secrets To Hedge Funds And Others
The Securities and Exchange Commission today charged six expert network consultants and employees with insider trading for illegally tipping hedge funds and other investors to generate nearly $6 million in illicit gains. The charges stem from the SEC's ongoing investigation into the activities of expert networks that purport to provide professional investment research to their clients.
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Date 03/02/2011
Program Trading Averaged 26.0 Percent Of NYSE Volume During Jan. 24-28
The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Jan. 24-28.
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Date 03/02/2011
NYSE Euronext Reorganises French Market Indices - A Harmonised Range Of Indices, Simpler And More User-Friendly
NYSE Euronext (NYX) today announced plans to harmonise its range of indices in Paris to further enhance visibility and liquidity for both issuers and investors.
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Date 03/02/2011
MICEX And RTS Shareholders Sign An Agreement Of Intent
The MICEX shareholders have signed an agreement of intent under which the MICEX is to acquire a controlling stake in the RTS. The Agreement was signed with the RTS shareholders collectively owning more than 50% stake in their Exchange.
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Date 03/02/2011
London Stock Exchange Group: Monthly Market Report - January 2011
London Stock Exchange Group (LSE.L) sits at the heart of the world’s financial community, offering international business unrivalled access to Europe’s capital markets. In January a total of 25.6 million trades were carried out across the Group’s electronic equity order books with a combined value of £191.6 billion (€226 billion), up 21 per cent on January 2010.
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Date 03/02/2011
Carbon Register Re-Opening. Statement By Dr Hans-Bernd Menzel, CEO, EEX
Neither the German carbon trading register, nor the EEX platform were directly affected by the recent hacking attacks on the EU Emission Trading Scheme. However, we share the deep concerns for the level of confidence in the European carbon market.
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