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SIFMA Market Close Recommendations For The US Veterans Day And Japanese Culture Day Holidays In The US, The UK And The Japanese Markets

Date 20/10/2010

In observance of the US Veterans Day and Japanese Culture Day holidays, SIFMA made holiday recommendations in U.S., U.K., and Japan.
BM&FBOVESPA Posts Record Financial Volume In ETF BOVA11 funds - Financial Volume Reaches BRL71.67 Million In ETF BOVA11, Totaling 1,029,790 Lots In 1,457 Trades At An Average Price Of BRL69.59

Date 20/10/2010

BM&FBOVESPA recorded a record financial volume on Wednesday in ETF BOVA11 Exchange Traded Funds for the Ibovespa index, at BRL71 million. The previous record was BRL65.87 million, on January 21. There were 1,029,790 BOVA11 round lots traded on Wednesday, at an average price of BRL69.59, in 1,457 trades. Trades in PIBB11, SMALL11, MOBI11 and CSMO11 reached financial volumes of BRL1.77 million, BRL1.17 million, BRL1.75 million and BRL 67,780, respectively.
FINRA Orders Ferris, Baker Watts To Pay Nearly $700,000 For Inappropriate Sales Of Reverse Convertible Notes - Firm To Pay Restitution Of $189,723 For Unsuitable Sales

Date 20/10/2010

The Financial Industry Regulatory Authority (FINRA) today announced that it has fined the former Ferris, Baker Watts LLC, acquired by RBC Wealth Management, $500,000 for inadequate supervision of sales of reverse convertible notes to retail customers as well as unsuitable sales of reverse convertibles to 57 accounts held by elderly customers who were at least 85 years old and customers with a modest net worth.
Thomas A. Bayer Named SEC Chief Information Officer

Date 20/10/2010

The Securities and Exchange Commission today announced that Thomas A. Bayer has been appointed as the SEC's new Chief Information Officer (CIO) and will oversee the agency's information technology functions.
Concurring Statement Relating To The Commission’s Proposal On Position Reports For Physical Commodity Swaps And Swaptions - CFTC Commissioner Jill E. Sommers

Date 20/10/2010

I support this proposal to receive daily position reports for physical commodity swaps and swaptions because I believe it furthers our continued effort to expand transparency into swap markets and because I believe it is critical that the Commission receive this information as soon as possible. I recognize that this proposal is a precursor to the Commission moving forward with a proposal on the imposition of position limits. That said, my vote in support of this proposal today should not in

LME To Delist Plastics Contract

Date 20/10/2010

The London Metal Exchange (LME) announces that it will delist its plastics contracts and that the last prompt date for all existing contracts will be Friday 29th April 2011. The formal decision to delist was taken by the Board of the London Metal Exchange following a recommendation by the Executive Committee. This announcement follows the establishment of delisting procedures.
Opening Statement, Public Meeting On Proposed Rules Under Dodd-Frank Act, CFTC Commissioner Michael V. Dunn

Date 20/10/2010

Today (October 19, 2010) we consider the next set of proposed rules that come before the Commission pursuant to the Dodd-Frank Act.
Barings Opens Dubai Office In Response To Growing Client Base - Mr. Nisarg Trivedi Appointed As Head Of Sales And Business Development, UAE

Date 20/10/2010

Baring Asset Management (Barings), the international investment management firm and winner of a Queen’s Award for Enterprise: International Trade 2010, has announced the opening of a representative office in Dubai in response to growing demand from clients based in the Middle East. Barings has recently been awarded a representative office license by the Dubai International Financial Centre (DIFC), and the office officially opens today. Mr. Nisarg Trivedi has b
Shanghai Stock Exchange,Shanghai Securities Regulatory Bureau Stress Crackdown On Insider Dealing

Date 20/10/2010

The Shanghai Stock Exchange (SSE) and the Shanghai Securities Regulatory Bureau (SSRB) have recently held a special training on supervision over insider dealing to further the understanding of supervision law enforcement officers in the front line on issues related to insider dealing,strengthen the communication between the grassroots regulatory organs and the enforcement departments of the China Securities Regulatory Commission (CSRC),and improve the capability to discover and deal with the
SEC: OECD Commends U.S. Regulators for Efforts to Fight Transnational Bribery

Date 20/10/2010

U.S. efforts to fight transnational bribery were commended today after an official review by the Working Group on Bribery of the Organisation for Economic Co-operation and Development (OECD), announced the Departments of Justice, Commerce and State, and the Securities and Exchange Commission (SEC.) In releasing its review, the OECD's 38-country Working Group on Bribery applauded U.S. enforcement efforts and high-level support for the fight against the bribery of foreign officials.