News Centre

Speech By SEC Staff: Remarks On News Conference Call About Case Against Credit Suisse Investment Bankers By Robert Khuzami, Director Of The SEC’s Division of Enforcement, U.S. Securities And Exchange Commission

Date 02/02/2012

For the past three years, the SEC has been aggressively pursuing fraudulent conduct related to the financial crisis. We have brought actions against more than 90 individuals and entities, with more than half of them senior officers such as CEOs and CFOs.

NZX Shareholder Metrics January 2012

Date 02/02/2012

NZX Shareholder Metrics January 2012

Attachments

• NZX Shareholder Metrics January 2012

The Systemic Risk of Intraday Margin Calls for Cleared Over-the-Counter Derivatives: Comment Letter To CPSS-IOSCO

Date 02/02/2012

Dear Secretariats

We wish to alert you to a matter which is, in our view, sufficiently important to reducing risk and fostering financial stability to raise at this late stage1. In this letter, we outline our concern and propose potential solutions that we are exploring to address this matter, while acknowledging that, as ever, there is no panacea for risk and that each of our proposed solutions contains its own difficulties and risks. Nevertheless, the industry feels strongly that CPSS-IOSCO ought to address this issue in its Principles for Financial Market Infrastructures (“PFMI”).  In particular, CPSS-IOSCO PFMI 3.4.82 and aspects of PFMI 63 require careful amendment.

Arizona Federal Court Orders Anthony Eugene Linton To Pay More Than $1.7 Million For Operating Ponzi Scheme - Court Permanently Bars Linton From Commodities Industry

Date 02/02/2012

The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court order requiring Anthony Eugene Linton of Tucson, Ariz., doing business as The Private Trading Pool(PTP), to pay a total of $1,776,610 in restitution, disgorgement, and a civil monetary penalty for defrauding investors in a commodity pool Ponzi scheme involving off-exchange foreign currency trading (forex).

Deutsche Boerse Tendered Shares Replaced By Original Deutsche Boerse Shares In STOXX Indices

Date 02/02/2012

STOXX Limited, the market-moving provider of innovative, tradable and global index concepts, today announced adjustments in several STOXX indices. Deutsche Boerse tendered shares (DE000A1KRND6, Financial Services, Germany) in the EURO STOXX 50, STOXX Europe 600, STOXX Global Total Market and the respective sub-indices will be replaced with the original Deutsche Boerse shares (DE0005810055, Financial Services, Germany). This change will be effective with the open of markets on February 8, 2012.

Remarks By U.S. Treasury Secretary Tim Geithner On The State Of Financial Reform

Date 02/02/2012

I want to use the occasion of this week’s Financial Stability Oversight Council meeting to review the progress made on financial reform to date and to outline our priorities and challenges for the year ahead. I am providing this assessment in my capacity as Chair of the Council, but do not speak for its individual members.

TMX Group – Consolidated Trading Statistics January 2012 - Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Montreal Exchange, Natural Gas Exchange

Date 02/02/2012

TMX Group Inc. today announced January 2012 trading statistics for its diversified group of exchanges – Toronto Stock Exchange, TSX Venture Exchange, Montreal Exchange (MX) and Natural Gas Exchange (NGX), as well as TMX Select, TMX Group's alternative trading system.

Regular Deutsche Börse Share Again Included In The DAX - Changes Will Be Effective On 8 February

Date 02/02/2012

Deutsche Börse has today announced changes in the DAX index. Deutsche Börse AG’s tendered share class (ISIN DE000A1KRND6) is to be replaced in the DAX with the original Deutsche Börse AG share class (ISIN DE0005810055). The changes will be effective on 8 February 2012 and are a result of today’s announcement on the reversal of the transaction between Deutsche Börse and NYSE Euronext due to the prohibition of the merger by the EU Commission.

BOX Price Improvement Activity Increases In January

Date 02/02/2012

In the month of January, price improved contracts on BOX Options Exchange (“BOX”) averaged 318,067 per day.  Price improvement versus the prevailing NBBO for contracts submitted via BOX’s price improvement auction (“PIP”) averaged $167,614 per day, while total savings to investors this month were $3.35 MM.  With this, BOX has saved investors over $373 MM since its inception in 2004.  Overall average daily trading volume on BOX in the month of January was 590,947 contracts. 

TSX Block List Leaders - January 2012

Date 02/02/2012

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. The leaders are measured by volume and value of blocks traded.