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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.
Speech By SEC Commissioner: Opening Statement At The SEC Open Meeting: Item 3 — Whistleblower Program - Chairman Mary L. Schapiro

Date 03/11/2010

We will consider a proposal to implement a whistleblower program as required by Section 924(a) of the Dodd-Frank Act.
Remarks Before FIA Futures And Options Expo, Chicago, IL - CFTC Chairman Gary Gensler

Date 03/11/2010

Good morning. I thank the Futures Industry Association for inviting me to speak today, and I thank John Damgard for that very kind introduction. Since I last spoke before the FIA, Congress passed historic reform to bring comprehensive oversight to the swaps marketplace.
Speech By SEC Chairman Mary L. Schapiro: Opening Statement At The SEC Open Meeting: Item 2 — Preventing Fraud In Connection With Security-Based Swaps

Date 03/11/2010

Next, we will consider a proposal designed to prevent fraud, manipulation, and deception in connection with security-based swaps. This proposal originates from Title VII of the Dodd-Frank Act, which generally authorizes the Commission to regulate security-based swaps.
CFTC To Hold Open Meeting On Fourth Series Of Proposed Rules Under The Dodd-Frank Act

Date 03/11/2010

The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Wednesday, November 10, 2010, at 1:00 p.m. to consider the issuance of the following proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act: Registration of Foreign Boards of Trade; Registration of swap dealers and major swap participants; Implementation of the Whistleblower provisions