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SEC Seeks Comments On Short Sale Price Test And Circuit Breaker Restrictions

Date 08/04/2009

The Securities and Exchange Commission today voted unanimously to seek public comment on whether short sale price restrictions or circuit breaker restrictions should be imposed and whether such measures would help promote market stability and restore investor confidence. In June 2007, the SEC voted to eliminate price restrictions.
Irish Stock Exchange Statement In Relation To J&E Davy

Date 08/04/2009

The Exchange, as part of its oversight and supervision of stockbrokers, became aware in late 2006 of issues of concern regarding possible breaches by J&E Davy (Davy) of Irish Stock Exchange conduct of business rules. These related to its sale of a number of perpetual Constant Maturity Swap (CMS) bonds to some of its credit union clients.
US Federal Reserve Board: Minutes Of Federal Open Market Committee, February 7 aAd March 17-18, 2009

Date 08/04/2009

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on March 17-18, 2009 and of the conference call held on February 7, 2009.
The Options Industry Council Announces Expansion Of Educational Program For Financial Advisors

Date 08/04/2009

The Options Industry Council (OIC) announced today a new effort to serve the educational needs of financial advisors with the launch of a dedicated advisor web portal and the addition of Eric S. Cott as Director of Financial Advisor Education.
Oddo & Cie Selects Chi-Tech’s MarketPrizm Solution For Trading Infrastructure

Date 08/04/2009

Chi-X® Global Technology, LLC (“Chi-Tech™”), the technology services unit of Chi-X Global, Inc., today announced it has deployed its MarketPrizm™ trading infrastructure platform for independent agency brokerage, Oddo & Cie.

World's Fifth Largest Insurance Broker, Lockton, Opens Office In DIFC

Date 08/04/2009

The world’s fifth largest global insurance broker, Lockton, announced today that it has been granted a licence by the Dubai Financial Services Authority (DFSA) to operate as an insurance broker in the Dubai International Financial Centre (DIFC).
Shenzhen Stock Exchange President Song Liping’s Interview With Xinhuanet On The New Market

Date 08/04/2009

SONG Liping, President of the Shenzhen Stock Exchange (SZSE) was invited to an interview by the Xinhuanet on 2nd April 2009. SONG Liping had a two-hour discussion with netizens and answered questions on supervision of the new market, relationship between the SME Board and the new market and other related topics.
SEC Charges Colorado Advisor For Conducting Multi-Million Dollar Ponzi Scheme

Date 08/04/2009

The Securities and Exchange Commission has charged a Denver-based investment manager and his firm for conducting a multi-million dollar Ponzi scheme through the sale of shares in investment funds that he manages. The SEC also charged the limited liability companies that issued the securities. The SEC is seeking an emergency court order to freeze all of their assets.
Chicago Climate Futures Exchange Announces New Record For Daily Volume

Date 08/04/2009

Chicago Climate Futures Exchange® (CCFE®), a whollyowned subsidiary of Chicago Climate Exchange® (CCX®), yesterday announced that it established a new record for daily volume with 11,049 futures and options contracts traded.<
NYSE Regulation: Monthly Disciplinary Actions For April

Date 08/04/2009

NYSE Regulation, Inc., today announced Monthly Disciplinary Actions for April 2009.