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Toronto Stock Exchange April 2009 Statistics

Date 05/05/2009

Click here to download Toronto Stock Exchange's April 2009 statistics.
Speech By SEC Chairman Mary L. Schapiro: Opening Statement At May 5, 2009, Roundtable On Short Selling

Date 05/05/2009

Good morning. Welcome to the Securities and Exchange Commission’s Roundtable on Short Selling. The Commission is grateful that so many have agreed to participate in today’s meeting. I believe I speak for my colleagues on the Commission in saying that we look forward to the panelists’ comments, insights and recommendations on this very important subject.
Toronto Stock Exchange Top 20 Largest Consolidated Short Position Report - April 30, 2009

Date 05/05/2009

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 April 30, 2009.
SEC Charges Operators Of Reserve Primary Fund With Fraud - Commission Seeks Expedited Distribution Of Fund's Remaining Assets To Investors

Date 05/05/2009

The Securities and Exchange Commission today filed fraud charges against several entities and individuals who operate the Reserve Primary Fund for failing to provide key material facts to investors and trustees about the fund's vulnerability as Lehman Brothers Holdings, Inc. sought bankruptcy protection.
FESE Response - Consultation On ESCB-CESR Draft Recommendations Revised For CCPs Clearing OTC Derivatives

Date 05/05/2009

FESE welcomes the opportunity that CESR has given the industry to respond to the draft recommendations for central counterparties (CCPs) revised for CCPs clearing OTC derivatives.

Component Changes Made To Dow Jones And Dow Jones Stoxx Select Dividend Indexes

Date 05/05/2009

Dow Jones Indexes, a leading global index provider, and STOXX Ltd., the leading provider of European equity indexes, today announced changes in several Dow Jones and Dow Jones STOXX Select Dividend indexes.
Tokyo Stock Exchange Monthly Short Selling Value

Date 05/05/2009

Click here to download Tokyo Stock Exchange's short selling value for April 2009.
IOSCO Publishes Interim Recommendations On Unregulated Financial Markets And Products

Date 05/05/2009

The International Organization of Securities Commissions’ (IOSCO) Technical Committee has published Unregulated Financial Markets and Products – Consultation Report (Report) prepared by its Task Force on Unregulated Financial Markets and Products (Task Force). The Report contains interim recommendations for regulatory action designed to improve confidence in the securitisation process and the market for credit default swaps (CDS).
SEC Charges Attorneys For Fraudulent Legal Opinions Used By Promoters In Pump-And-Dump Scheme

Date 05/05/2009

The Securities and Exchange Commission today charged two California-based attorneys as well as a California corporation and its owner for preparing and issuing fraudulent legal opinions involving unregistered stock that enabled promoters and others to sell shares in an illegal pump-and-dump scheme.
FINRA Bars Broker For Converting And Improperly Using More Than $500,000 From A Catholic Nun's Holdings, Another $80,000 From Three Elderly Customers - Victims Have Received Restitution From Broker, Legg Mason And Citigroup

Date 05/05/2009

The Financial Industry Regulatory Authority (FINRA) announced today that it has barred broker William Joseph Boyle from the securities industry for wrongfully converting and using funds from customer accounts and for failing to cooperate with FINRA investigators. Boyle's misconduct occurred both while he was working for Legg Mason Wood Walker, which was acquired by Citigroup in 2006, and at Citigroup.