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Two Texas Individuals Settle SEC Charges In Spam Scam Case

Date 18/03/2009

The Securities and Exchange Commission today announced that two Texas men have settled SEC charges that they perpetrated a massive e-mail spam campaign to drive up the demand for low value stocks they owned.
SEC Approves Name Change Of NYSE Alternext US To NYSE Amex - NYSE Amex Is Premiere Platform For Small And Mid-Cap Growth Companies

Date 18/03/2009

NYSE Euronext (NYX) today announced that the U.S. Securities and Exchange Commission has approved the name change of the former NYSE Alternext US to NYSE Amex. NYSE Amex, formed by NYSE Euronext’s acquisition of the former American Stock Exchange last year, is the premiere U.S. equities market for listing and trading small and mid-cap growth companies.
NYSE Euronext Announces Date For First Quarter 2009 Earnings Release And Conference Call

Date 18/03/2009

NYSE Euronext (NYX) will announce earnings for the first quarter 2009 before the market opens on Thursday, April 30, 2009. A news release will be issued at approximately 2:30 a.m. (New York) / 8:30 a.m. (Paris) and a conference call with remarks by NYSE Euronext
Markit BOAT™ - Equity Trading Highlights

Date 18/03/2009

Markit BOAT is a trade reporting platform which consolidates pan-European cash equity trade data from MTFs, Dark Pools and OTC transactions. The trading activity in this report took place on 17th March 2009 and was published by Markit BOAT on the same day.
London Stock Exchange: National Roadshow For Small Cap Companies - Six Events To Introduce Small Cap Companies To Private Client Investment Managers

Date 18/03/2009

The London Stock Exchange, working in partnership with City Insights, the provider of private client investor relations services, and international law firm Eversheds, will hold a series of Growing Company Investor Days starting this week. The Investor Days will bring the senior management of quoted companies from around the country face-to-face with private client investment managers and regional pension funds. Six events will be held during the year; in Bi

Roger T. Cole, Director, Division Of Banking Supervision And Regulation - Risk Management In The Banking Industry - Before The Subcommittee On Securities, Insurance, And Investment, Committee On Banking, Housing, And Urban Affairs, U.S. Senate, Washingto

Date 18/03/2009

Chairman Reed, Ranking Member Bunning and members of the Subcommittee, it is my pleasure to appear today to discuss the state of risk management in the banking industry and steps taken by Federal Reserve supervisors to address risk management shortcomings at banking organizations.
TSX Top 20 Largest Consolidated Short Position Report - March 15, 2009

Date 18/03/2009

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 March 15, 2009.
FINRA Proposes Pilot Program For Margining Credit Default Swaps Pilot Would Apply To Proposed Central Counterparty For CDS Trades

Date 18/03/2009

The Financial Industry Regulatory Authority (FINRA) today announced that is has proposed a pilot program for the margining of credit default swaps (CDS) by FINRA-registered firms that clear CDS transactions on the Chicago Mercantile Exchange, other central counterparty platforms or outside of such platforms
CFTC Charges North Carolina Foreign Currency Firm Barki, LLC And Its Recently Deceased Principal Bruce C. Kramer In Alleged $40 Million Ponzi Fraud - North Carolina Federal District Court Issues Restraining Order Freezing Assets And Appointing A Receiver

Date 18/03/2009

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it charged Barki, LLC of Mint Hill, North Carolina, and Bruce C. Kramer with fraudulently soliciting at least $40 million to trade leveraged foreign currency contracts (forex), misappropriating at least $30 million of customer funds to pay purported profits, return principal to customers, and for personal expenses. The defendants concealed their fraud and trading losses through false account statements for
SEC Charges Madoff Auditors With Fraud

Date 18/03/2009

The Securities and Exchange Commission today charged the auditors of Bernard Madoff's broker-dealer firm with committing securities fraud by representing that they had conducted legitimate audits, when in fact they had not.