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  • Program Trading Averaged 22.7 Percent Of NYSE Volume During July 28-Aug. 1

    Date 07/08/2008

    The New York Stock Exchange 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 July 28-Aug. 1.

  • NSX Releases July ETF/ETN Data Report

    Date 07/08/2008

    National Stock ExchangeSM (NSX®) today announced that U.S. listed Exchange-Traded Fund (ETF) and Exchange-Traded Note (ETN) assets reached $592.7 billion at the end of July 2008, an increase of 19 percent over $497.3 billion at July 2007 month-end.

  • FINRA Creates Process For Arbitrations Involving Auction Rate Securities

    Date 07/08/2008

    The Financial Industry Regulatory Authority (FINRA) announced today that it has established a special process for resolving auction rate securities-based claims in its arbitration forum. Qualifying investors will have the option of having their claims heard by a three-person panel of arbitrators, none of whom would be affiliated with a firm that recently sold auction rate securities. The new process comes as a result of the one developed by FINRA for the Securities and Exchange Commission's sett

  • New York Attorney General Cuomo Announces Landmark Settlement With Citigroup To Recover Billions In Auction Rate Securities For Investors Nationwide

    Date 07/08/2008

    Attorney General Andrew M. Cuomo today announced a landmark, multi-billion dollar agreement with Citigroup Global Markets, Inc. and Citi Smith Barney (collectively, “Citigroup”) to settle allegations that Citigroup was making misrepresentations in its marketing and sales of auction rate securities.  Citigroup marketed and sold auction rate securities as safe, cash-equivalent products, when in fact they faced increasing liquidity risk.

  • SEC Announces Two New Anti-Money Laundering Compliance Initiatives

    Date 07/08/2008

    The Securities and Exchange Commission staff today unveiled a new one-stop online reference site to assist mutual funds in their anti-money laundering (AML) compliance efforts, and launched a new centralized phone line specifically for securities firms to report the filing of a Suspicious Activity Report (SAR) that may require immediate attention by the Commission.

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