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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.
NSX Releases October 2009 ETF/ETN Data Report

Date 04/11/2009

National Stock Exchange, Inc. (NSX®) announced that assets in U.S. listed Exchange-Traded Funds (ETF) and Exchange-Traded Notes (ETN) totaled approximately $707.4 billion at October 2009 month-end, an increase of approximately 44% over October 2008 month-end when assets totaled $493 billion.
ELX Connects With TNS

Date 04/11/2009

Global Trading firms can now access ELX Futures, L.P. (ELX Futures) via Transaction Network Services’ (NYSE:TNS) Secure Trading Extranet, after a connection to the new fully regulated electronics futures exchange was established this month.
TSX Top 20 Largest Consolidated Short Position Report - October 31, 2009

Date 04/11/2009

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending October 31, 2009.

Hellenic Exchanges S.A. Holding - Helex 9M 2009 Financial Results

Date 04/11/2009

The consolidated net after tax profits of HELEX for 9M 2009 amounted to euro 27.9m vs. euro 50.2m in 9M 2008, reduced by 44%. The consolidated turnover of the Group dropped by 38%, to euro 53.1m vs. euro 85.4m in 9M 2008.
Wiener Börse Monthly Statistics - October 2009

Date 04/11/2009

Click here to download Wiener Börse's monthly statistics for October 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.
Ljubljana Stock Exchange Monthly Report - October 2009

Date 04/11/2009

Click here to download the LJSE Monthly Report for October 2009.
Dow Jones Indexes And Brookfield Asset Management Launch High Yield Infrastructure Index

Date 04/11/2009

Dow Jones Indexes, a leading global index provider, and Brookfield Asset Management Inc. (NYSE: BAM, TSX: BAM.A, Euronext: BAMA), a global asset management company focused on property, power and infrastructure assets, today announced the launch of an index that measures the highest-yielding stocks in the Dow Jones Brookfield Global Infrastructure Composite Index.