Mondo Visione Worldwide Financial Markets Intelligence

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  • SEC Orders FINRA To Improve Internal Compliance Policies And Procedures

    Date 27/10/2011

    The Securities and Exchange Commission today ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant and undertake other remedial measures to improve its policies, procedures, and training for producing documents during SEC inspections.

  • FINRA Statement On SEC Regulatory Action

    Date 27/10/2011

    The Financial Industry Regulatory Authority (FINRA) today issued the following statement from Richard Ketchum, FINRA Chairman and Chief Executive Officer, regarding a settlement between FINRA and the Securities and Exchange Commission (SEC) arising from documents produced during a 2008 SEC oversight examination of the Kansas City District Office. At issue was the alteration by the Director of the Kansas City office at the time, of three staff meeting minutes. Two of the meetings were conducted in 2006 and one was conducted in January 2007.

  • Program Trading Averaged 34.7 Percent of NYSE Volume During Oct. 17-21

    Date 27/10/2011

    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.

  • Fifth Swiss Financial Fair For Structured Products: Continued High Level Of Interest In Structured Products

    Date 27/10/2011

    The fifth Structured Products Fair closed its doors on Thursday evening. The fair, staged jointly by Scoach Switzerland Ltd and the Swiss Structured Products Association (SSPA), attracted approximately 3800 professional and private investors on October 26 and 27, 2011. Visitors to the fair gained first-hand knowledge of products and investment strategies. The supporting program, comprising speeches, training seminars, presentations and roundtables, provided a wealth of information on structured products.

  • Results Of Dubai Financial Market PJSC Board Of Directors' Meeting

    Date 27/10/2011

    The Board of Directors' of Dubai Financial Market PJSC held a Board of Directors meeting on Wednesday 26 October2011, at 2:00 PM at Borse Dubai and approved the Review Report and Interim Financial Information for the period from 1st January 2011 to 3oth September 2011.