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SEC Adopts New Rule Preventing Unfiltered Market Access

Date 03/11/2010

The Securities and Exchange Commission today voted unanimously to adopt a new rule to require brokers and dealers to have risk controls in place before providing their customers with access to the market.
BM&FBOVESPA: Market Participants And Bodies Discuss Climate Change In Seminar Held By The Exchange, Together With The IDB And World Bank - Meeting Seeks To Develop Market Mechanisms That Can Help Combat Global Warming

Date 03/11/2010

BM&FBOVESPA, the Inter-American Development Bank (IDB) and the World Bank are holding the seminar “Climate change: corporate responsibility and market mechanisms” today, with the participation of experts from several Latin American countries. The purpose of the meeting is to develop the carbon credit market and other financial mechanisms that can help reduce the impact of climate change.
Speech By SEC Commissioner Troy A. Paredes: Statement At Open Meeting To Propose Rules For Implementing The Whistleblower Provisions Of Section 21F Of The Securities Exchange Act Of 1934

Date 03/11/2010

Thank you, Chairman Schapiro. Section 922 of the Dodd-Frank Act amends the Securities Exchange Act to provide for a new whistleblower program. Under the program, the SEC is to pay considerable "bounties" — between 10 and 30 percent of the monetary sanctions awarded — to eligible whistleblowers who provide the Commission with useful information concerning a securities law violation that leads to a successful enforcement action.
NYSE Technologies Upgrades Risk Management Gateway For Launch In U.S. Liquidity Center - Lower Latency And Enhanced Performance To Nearly 50 U.S. Trading Destinations - New User Interface Aligned With New SEC Rules Coming In Q4

Date 03/11/2010

NYSE Technologies, the global commercial technology unit of NYSE Euronext, today announced that it has completed performance enhancements to its Risk Management Gateway (RMG) service now offered in NYSE Euronext’s U.S. liquidity center in Mahwah, New Jersey. Available now, customers utilizing RMG’s real-time risk controls and order management capabilities will benefit from improved functionality resulting in lower latency and greater consistency in latency performance in accessing nearly 50 tra
Speech By SEC Commissioner Luis A. Aguilar: Enlisting Whistleblowers In The Battle Against Securities Fraud

Date 03/11/2010

A clear objective of Congress and the President in the financial reform legislation is that the SEC be vigorous in enforcing the law. The legislation includes a significant number of enhancements to the Commission's law enforcement powers, including increased civil penalties, the ability to impose penalties in cease-and-desist proceedings, and the ability to bar persons who have engaged in misconduct from a wide range of securities industry activities.

ELX Market Share Soars In Two-Year U.S. Treasury Futures Contract

Date 03/11/2010

ELX Futures, L.P. (ELX) announced today that it has set a new market share record in its two-year U.S. Treasury Futures contract, with market share soaring to 13.4% on Tuesday, November 2, 2010.
Speech By SEC Commissioner Luis A. Aguilar: Effective Antifraud Rules Must Address Cross-Market Activity

Date 03/11/2010

The Dodd-Frank Act has given the Commission broad authority to oversee the market for security-based swaps, which has operated without adequate regulation or transparency. One important aspect of the Commission's new regulatory powers is enhanced authority to prohibit misconduct with respect to security-based swaps.
Foreign Investors The Majority Category In BM&FBOVESPA Stock Segment In October

Date 03/11/2010

Foreign investors were the majority category in BM&FBOVESPA’s stock market segment in October, at 32.89% of the total. Individual investors – including investment clubs – represented 22.53%.
Speech By SEC Commissioner Luis A. Aguilar: Strengthening Equity Market Structure And Protecting Investors

Date 03/11/2010

This rulemaking is designed to address an issue of particular concern in today's equity market structure. As I noted when this rule was proposed, the extreme speed at which orders interact in the equity markets has led to trading systems engineered for the least possible delay. When you combine the competitive pressure for speed with the tight interrelationship of trading venues in our National Market System, you create a risk that mistakes, even mere sloppiness, can cause substantial harm to
TMX Group Top 20 Largest Consolidated Short Position Report - October 31, 201

Date 03/11/2010

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 October 31, 2010.