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Semi-Annual Changes To The NASDAQ Biotechnology Index

Date 13/11/2009

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) announced today the results of the semi-annual re-ranking of the NASDAQ Biotechnology Index(R) (Nasdaq:NBI), which will become effective with the market open on Monday, November 23, 2009.
Mr. Tajinder Singh Appointed Deputy Secretary General At IOSCO General Secretariat

Date 13/11/2009

The International Organization of Securities Commissions (IOSCO) is pleased to announce the appointment of Mr. Tajinder Singh as Deputy Secretary General of the IOSCO General Secretariat. He will take up his appointment early in 2010.
CFTC Sanctions Hedge Fund EMF Financial Products, LLC $4 Million To Settle CFTC Charges That EMF Made False Statements Concerning Its Market Positions To The Chicago Board Of Trade - CFTC Also Charges EMF With Failure To Supervise And Restricts EMF’s Regi

Date 13/11/2009

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against EMF Financial Products, LLC (EMF), a CFTC registrant based in New York, N.Y., for making false statements and failing to disclose material information concerning its market positions and financing to the Chicago Board of Trade (CBOT). The CFTC also charged that EMF failed to diligently supervise the handling of its commodity interest business.
SEC Announces Agenda and Panelists for Small Business Forum

Date 13/11/2009

The Securities and Exchange Commission today announced the agenda, speakers and panelists for its November 19 forum on small business capital formation.
CFTC Staff Allows The Offer And Sale In The United States Of The Tokyo Stock Exchange’s (TSE’s) Mini Futures Contract Based On The TOPIX And TSE’s Futures Contracts Based On The TOPIX Core30 Index And TSE REIT Index

Date 13/11/2009

The Commodity Futures Trading Commission's (CFTC's) Office of General Counsel today announced that it issued a no-action letter on November 9, 2009, permitting the offer and sale in the United States of the Tokyo Stock Exchange’s (TSE) mini futures contract based on the TOPIX and TSE’s futures contracts based on the TOPIX Core30 Index and TSE Real Estate Investment Trust (REIT) Index.

Securities Regulators To Talk Financial Literacy With Students

Date 13/11/2009

The Securities and Exchange Commission today announced a new financial literacy outreach program to promote financial literacy to elementary school students.
BATS Files With SEC To Launch Options Trading - Operator Of BATS Exchange And BATS Europe On Schedule For Early 2010 US Options Launch

Date 13/11/2009

BATS Global Markets, an innovative global financial markets technology company, today announced it officially filed rules with the Securities and Exchange Commission (SEC) to launch a US equity options trading platform in early 2010 (announced separately July 8, 2009).
Paul Beswick Named SEC Deputy Chief Accountant In Charge Of Accounting Group

Date 13/11/2009

The Securities and Exchange Commission today announced that Paul A. Beswick has been named the Deputy Chief Accountant overseeing the Accounting group within the agency's Office of the Chief Accountant.
TMX Information Processor Names Peter S. Jarvis, CFA Governance Committee Chair

Date 13/11/2009

The TMX Information Processor, operated by TSX Inc., is pleased to announce the appointment of Peter S. Jarvis, CFA as Chair of the TMX Information Processor Governance Committee.
Shanghai Stock Exchange Tightens Punishment over Illegal Accounts

Date 13/11/2009

The Shanghai Stock Exchange (SSE) strengthened its supervision over speculation on newly issued stocks on the market by centralized risk alerts to a number of accounts prone to speculation on new stocks and taking measures including written warning and trading restriction towards some accounts seriously violating regulations.