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Goldman, Sachs & Co. Fined $22 Million For Supervisory Failures Relating To Trading And Equity Research

Date 12/04/2012

The Financial Industry Regulatory Authority (FINRA) today announced that it has fined Goldman, Sachs & Co. $22 million for failing to supervise equity research analyst communications with traders and clients and for failing to adequately monitor trading in advance of published research changes to detect and prevent possible information breaches by its research analysts. The Securities and Exchange Commission (SEC) today announced a related settlement with Goldman. Pursuant to the settlements, Goldman will pay $11 million each to FINRA and the SEC.
Program Trading Averaged 30.5 Percent Of NYSE Volume During Apr. 2-6

Date 12/04/2012

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 Apr. 2-6.
TMX Group Inc. To hold Its Annual Meeting And Report Results For Q1 2012 On Friday, May 11, 2012

Date 12/04/2012

On Friday, May 11, 2012, TMX Group Inc. will hold its Annual and Special Meeting for shareholders in the TMX Gallery at 2:00PM EDT.
SEC Charges Ponzi Schemer Targeting Church Congregations

Date 12/04/2012

The Securities and Exchange Commission today charged a self-described “Social Capitalist” with running a Ponzi scheme that targeted socially-conscious investors in church congregations.
IMF Managing Director Christine Lagarde: Global Risks Remain, More Work Needed

Date 12/04/2012

Ms. Christine Lagarde, Managing Director of the International Monetary Fund (IMF), today said that despite recent improvements in the global economic outlook, more work is required to support the still fragile recovery.

SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies And Procedures For Research “Huddles”

Date 12/04/2012

The Securities and Exchange Commission today charged that Goldman, Sachs & Co. lacked adequate policies and procedures to address the risk that during weekly “huddles,” the firm’s analysts could share material, nonpublic information about upcoming research changes. Huddles were a practice where Goldman’s stock research analysts met to provide their best trading ideas to firm traders and later passed them on to a select group of top clients.
World Federation of Exchanges Assemble Exchange And Clearinghouse Leaders In London To Discuss The Current Derivatives Landscape

Date 12/04/2012

Global leaders of derivatives exchanges and clearing houses will assemble 16-17 April for the 29^th IOMA Conference, the annual derivatives Conference hosted by the World Federation of Exchanges (WFE), to focus on the commercial and technological developments impacting derivatives markets. The conference also introduces the full annual IOMA survey on derivatives market statistics. The preliminary findings released on March 1, highlighted that 25 billion derivative contracts were traded on exchanges worldwide in 2011 - an increase from the 22 billion traded in 2010. Between 2006 and 2011, the number of derivative contracts traded on exchange has more than doubled. While last year’s growth rate (+12%) remains high, it is lower than the one observed in 2010 (+25%).
First 30 Companies Selected For Borsa Italiana New Elite Project

Date 12/04/2012

Borsa Italiana today announces the launch of Elite, its new SME support project. Elite will offer concrete support to fast-growing Italian SMEs via a portfolio of tools and services designed to boost the visibility and attractiveness of the selected companies to potential investors.
Inclusion Of A Company(s) In BSE IPO Index

Date 12/04/2012

As per the guidelines, a company that get listed on the Exchange after completion of IPO shall be considered eligible for inclusion in the index subject to minimum free-float market capitalization of Rs.100 crores on its first day of listing.
R.J. O’Brien Appoints Janella Kaczanko Senior Vice President, Human Resources

Date 12/04/2012

R.J. O’Brien & Associates (RJO), the nation’s oldest and largest independent futures brokerage and clearing firm, announced today that Janella E. Kaczanko, 41, has joined the firm as Senior Vice President, Human Resources. Kaczanko has spent the past 20 years building and re-engineering human resources departments and functions.