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NSX Releases July ETF/ETN Data Report

Date 07/08/2008

National Stock ExchangeSM (NSX®) today announced that U.S. listed Exchange-Traded Fund (ETF) and Exchange-Traded Note (ETN) assets reached $592.7 billion at the end of July 2008, an increase of 19 percent over $497.3 billion at July 2007 month-end.
FINRA Creates Process For Arbitrations Involving Auction Rate Securities

Date 07/08/2008

The Financial Industry Regulatory Authority (FINRA) announced today that it has established a special process for resolving auction rate securities-based claims in its arbitration forum. Qualifying investors will have the option of having their claims heard by a three-person panel of arbitrators, none of whom would be affiliated with a firm that recently sold auction rate securities. The new process comes as a result of the one developed by FINRA for the Securities and Exchange Commission's sett
New York Attorney General Cuomo Announces Landmark Settlement With Citigroup To Recover Billions In Auction Rate Securities For Investors Nationwide

Date 07/08/2008

Attorney General Andrew M. Cuomo today announced a landmark, multi-billion dollar agreement with Citigroup Global Markets, Inc. and Citi Smith Barney (collectively, “Citigroup”) to settle allegations that Citigroup was making misrepresentations in its marketing and sales of auction rate securities. Citigroup marketed and sold auction rate securities as safe, cash-equivalent products, when in fact they faced increasing liquidity risk.
SEC Announces Two New Anti-Money Laundering Compliance Initiatives

Date 07/08/2008

The Securities and Exchange Commission staff today unveiled a new one-stop online reference site to assist mutual funds in their anti-money laundering (AML) compliance efforts, and launched a new centralized phone line specifically for securities firms to report the filing of a Suspicious Activity Report (SAR) that may require immediate attention by the Commission.
Autorité Des Marchés Financiers Facts And Figures 2007

Date 07/08/2008

Click here to download the Autorité Des Marchés Financiers facts and figures 2007.

SEC Charges Microcap Companies aAd Individuals For Improperly Raising Millions In Capital While Harming Investors

Date 07/08/2008

The Securities and Exchange Commission has charged six microcap companies, four company officers and several market professionals for their roles in a scheme to raise millions of dollars in capital through improperly registered stocks to fund the companies' struggling businesses.
NYMEX to Change Margins for Colombian Peso Futures Contract

Date 07/08/2008

The New York Mercantile Exchange, Inc. today announced margin changes for its Colombian Peso futures contact, effective at the close of business tomorrow.
Deutsche Bank Lists Three ELEMENTS<SUP>SM</SUP> Exchange-Traded Notes linked To Benjamin Graham<SUP>SM</SUP> Intelligent Value Indices On NYSE Arca

Date 07/08/2008

NYSE Euronext (NYX) today announced that Deutsche Bank AG (NYSE: DB) listed three ELEMENTS ETNs linked to Benjamin Graham Intelligent Value Indices on NYSE Arca.
Warsaw Stock Exchange: Derivative And Structured Instruments Market In July 2008

Date 07/08/2008

In July 2008, the total volume of trading in all derivative instruments was 0.98 million instruments. The number of open positions was 103 thousand contracts at the end of July. The total volume of trading in derivative instruments year to date was 7.3 million instruments, equal to 74% of the total volume in all of 2007. The volume of trading was 12.2 million instruments in the past 12 months. The volume of trading in WIG20 options was 38.6 thousand options in July 2008, the hig
SEC: Citigroup Agrees In Principle To Auction Rate Securities Settlement - Firm Will Provide Liquidity And Remediate Losses

Date 07/08/2008

The Securities and Exchange Commission's Division of Enforcement today announced a preliminary settlement in principle with Citigroup Global Markets, Inc. (Citi) including proposed charges and a plan that would give individual investors, small businesses, and charities all $7.5 billion of their money back from auction rate securities (ARS) they purchased from the firm. The agreement also would require Citi to use its best efforts to liquidate by the end of 2009 all of the approximately $12 b