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FINRA Fines Edward Jones $900,000 For Failing To Timely Deliver Official Statements To Customers In Municipal Bond Sales

Date 09/04/2009

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official statements to customers who purchased new-issue municipal securities and related supervisory and recordkeeping failures.
CFTC: New York Court Enters Order Imposing A $240,000 Fine And Other Sanctions Against New York State Resident Michael Vitebsky In A Foreign Currency Scam

Date 09/04/2009

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained $240,000 in sanctions and a permanent injunction in a consent order against Michael Vitebsky, a resident of New York State, in connection with his participation in an illegal foreign currency (forex) boiler room operation and for violating the anti-fraud provisions of the Commodity Exchange Act. The order also imposes permanent trading and registration bans on Vitebsky.
SEC Charges Georgia Attorney For Conducting Multi-Million Dollar Ponzi Scheme

Date 09/04/2009

The Securities and Exchange Commission today charged a Marietta, Ga.-based attorney for operating a Ponzi scheme that sold promissory notes to raise funds that were purportedly invested in real estate transactions, including private mortgages.
NASDAQ Announces End-of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date March 31, 2009

Date 09/04/2009

At the end of the settlement date of March 31, 2009, short interest in 2,528 NASDAQ Global Market(sm) securities totaled 6,950,034,522 shares compared with 7,246,261,438 shares in 2,521 Global Market issues reported for the prior settlement date of March 13, 2009. The end-of-March short interest represents 3.02 days average daily NASDAQ Global Market share volume for the reporting period, compared with 3.07 days for the prior reporting period.
NYSE Amex Issues Short Interest Report

Date 09/04/2009

NYSE Amex (formerly known as NYSE Alternext US) today reported short interest as of the close of business on the settlement date of March 31, 2009.

UK's Financial Services Authority Confirms Industry Guidance Designed To Help More Efficient Transfer Of Investment Fund Units

Date 09/04/2009

The Financial Services Authority (FSA) has confirmed Industry Guidance which will facilitate paper-free electronic transfer of ownership of units held in an authorised investment fund (an authorised unit trust or an open-ended investment company).
Suspension Of Central Japan Commodity Exchange TSR 20 Trading

Date 09/04/2009

The trading of TSR 20 futures contracts shall be suspended from April 10, 2009.
Shanghai Stock Exchange Governor Geng: Market Stability, The Primary Mission In 2009

Date 09/04/2009

The Shanghai Stock Exchange (SSE) has recently held its annual event of 2009 Press Publicity Symposium in the sixth consecutive year. SSE Governor Geng Liang and President Zhang Yujun attended the meeting and introduced the SSE's major work in 2009. Fifteen leading media, including the Shanghai Securities News, took part in the symposium and joined in the positive and in-depth discussion on the stability and development of the SSE market. Geng stressed at the meeting that the primary mission
Program Trading Averaged 32.6 Percent Of NYSE Volume During Mar. 30-Apr. 3

Date 09/04/2009

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for Mar. 30-Apr. 3.
Malawi Stock Exchange Weekly Report

Date 09/04/2009

Click here to download Malawi Stock Exchange's weekly report.