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ASIC Releases Information Sheet For Licensing Of Financial Services In Emissions Units

Date 27/06/2012

ASIC has released an information sheet to assist those intending to apply for an Australian financial services (AFS) licence to provide services in emissions units and related derivatives from 1 July.
Osaka Securities Exchange: Partial Amendment In Related Rules And Regulations With Functional Improvement Of Strategy Trading

Date 27/06/2012

In order to increase convenience for investors, OSE has decided to improve a function of strategy trading^(*1), such as allowing order placement before the opening of the trading session.
Thai Bourse Joins Capital Market Units To Enhance CEO Role For Sustainable Company

Date 27/06/2012

Corporate Social Responsibility Institute (CSRI) of The Stock Exchange of Thailand (SET) joins hands with Securities and Exchange Commission (SEC) and other capital market units to hold the “CEO Forum: CEO’s role in building a sustainable organization” seminar to stimulate top executives of listed companies to conduct business with social responsibility for sustainable development.
Shanghai Stock Exchange Enhances Abilities Of Small And Medium-Sized Investors In Rational Investment By Constantly Reinforcing Investor Education Related To New Shares

Date 27/06/2012

As the core foundation for the survival and development of securities market, the mature investors with reasonable structure is crucial to the safe operation and functioning of the capital market. The current emerging and transitional capital market in China develops rapidly and changes greatly. Due to multiple factors like social culture, investment habits and psychological bias, some small and medium-sized investors believe "rumors" and pay attention to "themes" and such market phenomena as new shares speculation, small-cap stocks speculation, underperformed stocks speculation and frequent trading are longstanding. Therefore, Chairman Guo Shuqing of the China Securities Regulatory Commission (CSRC) said to the small and medium-sized investors at the forum in Guangdong Province that such serious phenomena as new shares speculation, small-cap stocks speculation and underperformed stocks speculation in the securities market have not only led to the irrational stock price structure, but also harmed investors' interests. As a result of unceasing speculation after new shares' listing, the investors participating in the new shares speculation suffered great losses.
Ed Robertiello Named Senior Portfolio Manager Of Absolute Return Strategies

Date 26/06/2012

The California Public Employees’ Retirement System (CalPERS) today announced the appointment of Ed Robertiello as Senior Portfolio Manager of Absolute Return Strategies in the pension fund's investment office.

T.R. Lazo Joins SIFMA As Managing Director

Date 26/06/2012

SIFMA today announced that it has appointed T.R. Lazo as Managing Director and Associate General Counsel.
Federal Court In Florida Orders Over $2.5 Million In Sanctions Against Abraham Gutterman And His Companies For Commodity Options Fraud And Misappropriation - Court Order Permanently Bars Gutterman And His Companies, Alliance Capital Metals LLC And AR Goldman Wealth Management, LLC, From The Commodities Industry

Date 26/06/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Marcia G. Cook, of the U.S. District Court for the Southern District of Florida, entered an order of default judgment and permanent injunction against Abraham Gutterman, who currently resides in Brooklyn, NY, and his companies, Alliance Capital Metals LLC (ACM) and AR Goldman Wealth Management, LLC(ARGWM), both of South Florida. The order stems from a CFTC complaint filed against the defendants on March 15, 2012, in connection with a fraudulent gold and oil commodity options scheme (see CFTC Press Release6213-12 , March 20, 2012).
SEC Charges Founder Of Equity Research Firm With Insider Trading

Date 26/06/2012

The Securities and Exchange Commission today charged Tai Nguyen, the owner of the California-based equity research firm Insight Research, with insider trading. The charges stem from the SEC’s ongoing investigation of insider trading involving so-called “expert networks” that provide specialized information to investment firms.
NYSE Group Inc. Issues Short Interest Report

Date 26/06/2012

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of June 15, 2012.
NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date June 15, 2012

Date 26/06/2012

At the end of the settlement date of June 15, 2012, short interest in 2,219 NASDAQ Global Market^SMsecurities totaled 7,377,726,620 shares compared with 7,347,012,533 shares in 2,230 Global Market issues reported for the prior settlement date of May 31, 2012. The mid-June short interest represents 4.44 days average daily NASDAQ Global Market share volume for the reporting period, compared with 3.84 days for the prior reporting period.