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CalPERS Applauds Waters-Peters Amendment To Help Shareowners Gain Proxy Access - Would Make Corporate Boards More Accountable

Date 04/11/2009

The California Public Employees’ Retirement System (CalPERS) praised the U.S. House Financial Services Committee today for adopting legislation to help shareowners place their own candidates on proxy ballots in corporate board elections.
SEC Sues Value Line Inc. And Two Senior Officers For $24 Million Fraudulent Scheme

Date 04/11/2009

The Securities and Exchange Commission today charged New York City-based investment adviser Value Line Inc., its CEO, its former Chief Compliance Officer and its affiliated broker-dealer with defrauding the Value Line family of mutual funds by charging over $24 million in bogus brokerage commissions on mutual fund trades funneled through Value Line's affiliated broker-dealer, Value Line Securities, Inc. (VLS).
Standard & Poor's Announces Changes In The S&P/TSX Venture Composite Index

Date 04/11/2009

Standard & Poor's will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Wednesday, November 4, 2009:
SEC Charges Former Executives Of Milwaukee-Based Medical Software Provider With Accounting Fraud

Date 04/11/2009

The Securities and Exchange Commission today charged Milwaukee-based Merge Healthcare Incorporated and two former senior executives for their roles in an accounting fraud that ultimately caused the company's stock price to drop by two-thirds during a seven-month period.
Toronto Stock Exchange Statistics For The Month Of October 2009

Date 04/11/2009

To view a summary of market statistics for October 2009 for Toronto Stock Exchange, please click on the "Related Documents" link below to access the PDF file.

ICE Futures Canada Remembrance Day Holiday

Date 04/11/2009

ICE Futures Canada, Inc. and ICE Clear Canada, Inc. will be closed for trading and clearing operations on Trade Date Wednesday November 11, 2009.
Record Year For Mining Financing On Toronto Stock Exchange - TSX And TSX Venture Exchange Head To Australia To Highlight The Advantages Of The World’s Leading Mining Markets

Date 04/11/2009

2009 has been a record year for financing raised by mining companies listed on Toronto Stock Exchange. As of September 30, 2009, $17 billion has been raised on Toronto Stock Exchange through 264 financings, which exceeds full-year 2008 totals; 60 of these financings exceeded $50 million each. The two exchanges have had 59 new mining listings during the first nine months of 2009.
FINRA Bars California Broker For Insider Trading

Date 04/11/2009

The Financial Industry Regulatory Authority (FINRA) today announced that a former registered representative, Abhishek Uppal, has been barred from the securities industry for engaging in insider trading earlier this year.
Speech By SEC Chairman Mary Schapiro: Address To The Practising Law Institute's 41st Annual Institute On Securities Regulation

Date 04/11/2009

Thank you for that kind introduction. And thank you for inviting me here today.
J.P. Morgan Settles SEC Charges In Jefferson County, Ala. Illegal Payments Scheme - SEC Separately Charges Two Former Managing Directors At Firm

Date 04/11/2009

The Securities and Exchange Commission today charged J.P. Morgan Securities Inc. and two of its former managing directors for their roles in an unlawful payment scheme that enabled them to win business involving municipal bond offerings and swap agreement transactions with Jefferson County, Ala. This is the SEC's second enforcement action arising from Jefferson County's bond offerings and swap transactions.