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SEC Brings Emergency Charges Involving Fraudulent Securities Sold On Craigslist - Scheme Also Put Municipal Employee Paychecks At Risk

Date 14/05/2009

The Securities and Exchange Commission today charged two New Jersey men with orchestrating a fraudulent scheme that sold unregistered securities and commingled investor funds with their payroll service used by New Jersey municipalities and small businesses.
London Stock Exchange: Update On Tokyo Stock Exchange Joint Venture

Date 14/05/2009

Further to its announcement on 29 January 2009, the London Stock Exchange plc is pleased to confirm that it has now signed a shareholders' agreement with Tokyo Stock Exchange Group, Inc. ("TSE"), which formalises the funding and governance of the joint venture company to develop TOKYO AIM, a new market for growing companies in Japan and Asia.
SEC Proposes Rule Amendments To Strengthen Safeguards Of Investor Funds Controlled By Investment Advisers

Date 14/05/2009

The Securities and Exchange Commission today proposed rule amendments to substantially increase protections for investors who entrust their money to investment advisers.
DigitalGlobe Commemorates IPO, First Day Of Trading On NYSE - NYSE Euronext Leads Global IPO Markets In 2009, With $1.63 Billion In Total Proceeds - NYSE Lists 100% Of Qualified Domestic Ipos Year-To-Date

Date 14/05/2009

DigitalGlobe, a leading earth imaging and information company based in Longmont, Colo., today opened for trading on the New York Stock Exchange under the ticker symbol “DGI” after its successful initial public offering in which it raised $279.3 million in gross proceeds. DigitalGlobe is the fourth IPO by a U.S. company to list on the New York Stock Exchange this year.
NASDAQ OMX Comments On Obama Administration Proposal For Regulatory Reform Of OTC Derivatives Markets

Date 14/05/2009

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today commented on the Obama Administration's proposed regulatory framework for the Over The Counter (OTC) Derivatives Markets. NASDAQ OMX supports the Administration's comprehensive plan which incorporates important protections for the financial system and investors.

Deutsche Boerse Statement US Treasury Plans On OTC Derivatives Markets

Date 14/05/2009

Deutsche Boerse and Eurex welcome the regulatory reform of OTC derivatives markets initiated by U.S. Treasury Secretary Geithner, SEC Chairman Schapiro and CFTC Acting Chairman Dunn. We believe that the objectives expressed by the Obama Administration will significantly contribute to increase investor confidence and to improve market integrity, efficiency and transparency in all OTC derivatives markets. With its OTC clearing solution, to be started in July 2009 with Credi
Program Trading Averaged 25.7 Percent Of NYSE Volume During May 4-8

Date 14/05/2009

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for May 4-8.
BM&FBOVESPA: BM&F Market Segment Sets New Trading Record Via DMA: 30,629 Trades

Date 14/05/2009

BM&FBOVESPA set a new Direct Market Access (DMA) trading record on Wednesday, May 13, on the BM&F market segment: 30,629 trades. The previous record of 29,010 trades was set on March 3.
NASDAQ OMX Signs Agreement With Tianjin, China Government - MoU Will Support Future Overseas Listings

Date 14/05/2009

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today signed a Memorandum of Understanding (MoU) with the Tianjin Municipal People's Government for collaboration regarding overseas listings for companies in the Tianjin - Binhai new economic area. The agreement provides support for Tianjin companies wishing to list overseas and the exchange of information with regard to capital raising and support services for public companies domiciled in Tianjin.
CESR Launches A Consultation On Complex And Non-Complex Financial Instruments For The Purposes Of The MiFID Directive's Appropriateness Requirements

Date 14/05/2009

The Markets in Financial Instruments Directive (MiFID) includes conduct of business requirements applying to a range of investment services. In certain respects, concerning investment firms’ obligations to their clients and the information they must ask of clients, the approach and detail of these requirements differs according to the nature of the service; in particular whether or not the firm is providing investment advice to the client or is managing the client’s portfolio on a discr