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Date 09/04/2008
FINRA Issues Guidance On Best Practices For Detecting And Preventing "Rogue" Trading
The Financial Industry Regulatory Authority (FINRA) issued guidance to firms outlining best practices for detecting and preventing unauthorized proprietary trading, often called "rogue" trading. The Notice comes in the wake of several recent cases involving allegations of unauthorized trading that resulted in substantial losses by firms both in the United States and abroad.
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Date 09/04/2008
SEC Action Returns Former Gemstar CEO's Pending Severance Payment To Company And Shareholders
The Securities and Exchange Commission today announced a court ruling that successfully concludes its effort to stop a $29.5 million severance package from being paid to the former CEO of Gemstar-TV Guide International, Henry C. Yuen, who committed securities fraud before leaving his position at the Pasadena, Calif.-based company. The funds were previously set aside in an escrow account that will now be dissolved so that the money remains with the company and its shareholders.
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Date 09/04/2008
TSX Group Inc. Enhances Equity Trading Fee Structure To Incent Market Makers And Announces Free Printing For Intentional Crosses
TSX Group Inc. is enhancing its equity fee structure to further incent market making firms that supply liquidity to Toronto Stock Exchange. TSX market makers ensure efficient and orderly trading, reduced volatility, and support for the retail investor. The impact on TSX Group Inc. overall trading revenue is expected to be neutral.
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Date 09/04/2008
The Minneapolis Grain Exchange Announces New Manager, Marketing, Communications, Media Relations
The Minneapolis Grain Exchange is pleased to announce that Rita Maloney has joined the organization as Manager of Marketing, Communications and Media Relations.
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Date 09/04/2008
CFTC: Dubai-Based Aaristo Commodities And Futures DMCC Ordered To Pay $100,000 Penalty Related To Charges Of Engaging In Illegal Trades
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a $100,000 civil monetary penalty in a consent order settling charges against Aaristo Commodities and Futures DMCC (Aaristo), of Dubai, United Arab Emirates. Aaristo had been charged with engaging in trading that resulted in a money pass among Aaristo’s and counterparty accounts.
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Date 09/04/2008
Speech By SEC Chairman: Chairman's Address To The North American Securities Administrators Association 2008 Public Policy Conference
Thank you, Karen [Tyler, NASAA president] for that kind introduction. It's a pleasure to join you once again at this important annual Washington gathering.
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Date 09/04/2008
NYSE Regulation Announces April Disciplinary Actions Against Four Firms And Two Individuals
NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for April 2008. NYSE Regulation undertakes disciplinary action to enforce violations of NYSE rules and federal securities laws by member organizations, as well as current and former employees of those organizations.
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Date 09/04/2008
LME Announces Third Consecutive Year of Record Volumes
The London Metal Exchange (LME) has announced its annual volume figures for 2007, revealing a third record year for the Exchange. Nearly 93 million lots were traded, across Futures and Options, representing an increase of around 7% on 2006 figures.
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Date 09/04/2008
EU ETS Phase III Trading Takes Off On ECX - New EUA Dec13 Contract Sees First Trade At €27.70
European Climate Exchange (ECX) yesterday introduced two additional contract months, Dec13 and Dec14, to the EUA forward curve. The first screen trade in the ICE ECX EUA Dec13 futures Contract took place between orbeo and an undisclosed counterparty at 15:51hours UK local time for 10 lots (equivalent to 10,000 EUAs) at a price of €27.70 per tonne.
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Date 09/04/2008
NSX Releases March ETF/ETN Data Report
National Stock ExchangeSM(NSX®) today announced that U.S. listed Exchange-Traded Fund (ETF) and Exchange-Traded Note (ETN) assets reached $583 billion at the end of March 2008, an increase of 28 percent over $454.1 billion at March 2007 month-end.
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