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Richard G. Ketchum, FINRA Chairman & Chief Executive Officer - Women In Housing and Finance Luncheon

Date 13/05/2010

Thank you for that introduction, and thank you for the invitation to be with you today. The events of the last few years underscore the importance of a group such as this one. As this audience knows, both housing and finance can be used as tools to achieve financial security and to unlock economic opportunity. But we've seen how the two can be toxic when mixed together irresponsibly. One of the challenges ahead, for everyone operating in and around housing markets and financial markets, is to
SEC Investor Advisory Committee Announces Meeting Agenda, List Of Participants

Date 13/05/2010

The Securities and Exchange Commission’s Investor Advisory Committee today announced the agenda for its public meeting to be held on May 17, 2010. The Committee was formed by the SEC in 2009 to advise the Commission as to its regulatory priorities.
Program Trading Averaged 23.5 Percent Of NYSE Volume During May 3-7

Date 13/05/2010

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 May 3-7.
CBOE To Launch S&P 500 Annual Dividend Index Options On May 25: Aimed At Customers Accustomed To Viewing Dividend Movement Over Entire Year

Date 13/05/2010

The Chicago Board Options Exchange (CBOE) today announced plans to begin trading options on the S&P 500® Annual Dividend Index (ticker symbol - DIVD) on Tuesday, May 25, 2010. Initially, two annual expirations - December 2010 and December 2011 - will be listed.
Tel Aviv Stock Exchange: Changes To Trading And Clearing House Schedules On 26 May 2010

Date 13/05/2010

Given the anticipated increase in trading activity in TASE-listed securities resulting from Israel's upgrade to "developed market" status by MSCI, the following changes to trading times and clearing house activity on 26 May 2010 will be in effect:1. Changes to the trading timetable: a. Shares, convertible, bonds, T-bills and institutional securit

HKEX Employees’ Share Award Scheme

Date 13/05/2010

On 23 April 2010, the Board resolved to change the vesting period of the Awarded Shares and Related Income under the Scheme from 5 years to 3 years, and to provide a Budgeted Sum for the purchase of Shares to be awarded to the Selected Employees conditional upon the said changes to the Scheme becoming effective.
RTS Trading Statistics April 2010 - Russian Share Market: Contradictory Dynamics

Date 13/05/2010

In April, the market dynamics depended heavily on external factors.
FINRA Fines Deutsche Bank Securities, National Financial Services A Total Of $925,000 For Systemic Short Sale Violations - Both Firms Facilitated Customer Execution Of Short Sales Through Direct Market Access Order Systems That Violated The 'Locate' Requi

Date 13/05/2010

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined two broker-dealers a total of $925,000 for executing numerous short sale orders in violation of Regulation SHO and for related supervisory violations. FINRA fined New York's Deutsche Bank Securities $575,000 and Boston's National Financial Services (NFS) $350,000.
UK's Financial Services Authority Prohibition Of Andrew Greystoke And £400,000 Fine On Him And Atlantic Law LLP For Aiding Multi-Million Pound Boiler Room Share Scam Upheld

Date 13/05/2010

The Financial Services and Markets Tribunal has upheld a Financial Services Authority (FSA) decision permanently banning Andrew Greystoke from working in any capacity in financial services and fining him and Atlantic Law LLP (Atlantic Law), an FSA-regulated law firm of which he is senior partner, a total of £400,000.
Security Traders Association Statement On May 6

Date 13/05/2010

We think it's pretty clear after last Thursday, that there needs to be uniform standards regarding circuit breakers, stock halts and the procedure for cancelling trades. The lack of consistency amongst exchanges regarding these policies does suggest that a regulator needs to provide clear, concise, and consistent guidelines. Traders and investors need rules that are clear and consistent in order to allocate capital and make decisions. We support the exchanges and regulators working togethe