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New York Attorney General Cuomo Announces The Release Of An Assurance Of Discontinuance In Auction Rate Securities Settlement With Wachovia - Auction Rate Securities Probe Has Resulted In Over $61 Billion In Buy-Back Obligations-Creating Largest Consumer

Date 05/02/2009

Attorney General Andrew M. Cuomo today announced an Assurance of Discontinue with Wachovia Securities, LLC and Wachovia Capital Markets, LLC (collectively, “Wachovia“”) relating to the auction rate securities settlement reached late last summer. The Assurance details how liquidity will be provided to consumers who purchased auction-rate securities. The Assurance of Discontinuance is the next step in the agreement reached in August with Wachovia.
Robert Malhotra Named Senior Advisor In SEC Office Of The Chief Accountant

Date 05/02/2009

The Securities and Exchange Commission announced today that Robert B. Malhotra has been named to serve in the SEC's Office of the Chief Accountant (OCA) as a senior advisor. In this capacity, Mr. Malhotra will advise the senior officers in OCA on complex accounting and auditing matters, and will assist in the development of strategic objectives that need to be pursued to support the Commission's agenda.
CFTC Charges Minnesota Resident Charles “Chuck” E. Hays And His Company, Crossfire Trading, LLC, With Running A $5.5 Million Ponzi Scheme

Date 05/02/2009

The U.S. Commodity Futures Trading Commission (CFTC) filed an enforcement action today against Charles “Chuck” E. Hays and Crossfire Trading, LLC (Crossfire), both of Rosemount, Minnesota, charging them with fraud and misappropriation in connection with a commodity pool Ponzi scheme.
SEC Finalizes ARS Settlement To Provide $7 Billion in Liquidity To Wachovia Investors

Date 05/02/2009

The Securities and Exchange Commission today announced a settlement with Wachovia Securities, LLC that will provide more than $7 billion in liquidity to thousands of customers who invested in auction rate securities (ARS) before the market for those securities collapsed.
NSX Releases January 2009 ETF/ETN Data Report

Date 05/02/2009

National Stock Exchange, Inc.(NSX®) today announced that net cash inflows into U.S. listed Exchange-Traded Funds (ETF) and Exchange-Traded Notes (ETN) totaled $2.1 billion for January 2009, an increase of approximately 74% over $1.2 billion posted during January 2008. At the end of January 2009, the number of listed products totaled a record 861, compared to 678 listed products one year ago.

TSX Venture Exchange Market Statistics For The Month Of January 2009

Date 05/02/2009

To view a summary of market statistics for January 2009 for TSX Venture Exchange, please click on the "Related Documents" link below to access the PDF file.
SEC Charges Wall Street Professionals And Others In Insider Trading Ring

Date 05/02/2009

The Securities and Exchange Commission today charged seven individuals involved in an insider trading ring that generated more than $11.6 million in illegal profits and avoided losses.
Program Trading Averaged 30.4 Percent Of NYSE Volume During Jan. 26-30

Date 05/02/2009

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 Jan. 26-30.
National Foundation Day And US Presidents Day Holiday Market Close Recommendations

Date 05/02/2009

In observance of the National Foundation Day and US Presidents Day holidays, SIFMA made holiday recommendations in U.S., U.K., and Japan.
Tokyo Financial Exchange Trading Volume In January 2009

Date 05/02/2009

In January 2009, the trading volume of Three-month Euroyen futures was 1,006,747, decreasing 61.8% in comparison to that of the prior year comparable month, and decreasing 5.7% in comparison to that of the prior month, and the average daily volume was 52,987. The trading volume of Options on Three-month Euroyen futures was 8,398, decreasing 96.0% in comparison to that of the prior year comparable month, and decreasing 63.4% in comparison to that of the prior month. The trading volumes for the pu