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Date 09/09/2009
BM&FBOVESPA Operational Figures
Monthly Operational Figures Report - August, 2009 Click here to open the file
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Date 09/09/2009
SIFMA’s AMG Supports SEC Proposals To Enhance Limits On Risk Taken By Money Market Mutual Funds
In a comment letter filed with the Securities and Exchange Commission, the Asset Management Group (AMG) of the Securities Industry and Financial Markets Association (SIFMA) expressed its strong support for the SEC’s goals of increasing the resilience of money market mutual funds to economic stresses, reducing the risks of significant redemptions on the funds, facilitating the orderly liquidation of a money market fund that breaks the dollar and liquidates, and improving the SEC’s oversight of mo
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Date 09/09/2009
Statement Of Chairman Gary Gensler, Commodity Futures Trading Commission Before The U.S. Senate Committee On Agriculture, Nutrition And Forestry, September 9, 2009
Good morning Chairman Harkin, Ranking Member Chambliss and members of the Committee. Thank you for inviting me to testify today regarding cap-and-trade legislation before Congress. My testimony will focus on the Commission’s experience regulating emissions trading markets and how we can apply that experience to trading in government-issued greenhouse gas allowances and offset credits. In the event that Congress passes cap-and-trade legislation, the Commodity Futures Trading Commission has the
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Date 09/09/2009
NASDAQ OMX Remembers September 11th Victims And Families And Recognizes The Obama Administration's Federal Designation As A National Day Of Service And Remembrance
What: NASDAQ OMX requests that the trading community refrain from trading for a moment of silence between 10:29 a.m. - 10:30 a.m. (representing the fall of the North Tower) on Friday September 11th 2009 to remember those who lost their lives on that tragic day. Also, in recognition of the new federal designation of September 11th as a National Day of Service and Remembrance by the Obama Administration, NASDAQ OMX will conduct a number of commemorative activities durin
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Date 09/09/2009
SIFMA Supports SEC Proposals To Increase Municipal Securities Disclosure
In a comment letter filed with the Securities and Exchange Commission on proposed amendments to Rule 15c2-12 relating to municipal securities disclosure, the Securities Industry and Financial Markets Association (SIFMA) expressed its support for continuing disclosure to investors and its general agreement with the SEC that the proposed amendments will achieve that goal.
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Date 09/09/2009
CFTC Sanctions J.P. Morgan Futures, Inc. $300,000 For Failing To Properly Segregate Customer Funds And Failing To Timely Report The Under-Segregation To The CFTC - J.P. Morgan Futures, Inc., A Registered Futures Commission Merchant, Drew Upon Customer Seg
The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against J.P. Morgan Futures, Inc. (JPMF), a registered futures commission merchant, for violating rules governing segregation of customer funds, timely computation of its segregation obligations, timely reporting of under-segregation deficiency to the CFTC and diligent supervision of its employees.
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Date 09/09/2009
NSX Releases August 2009 ETF/ETN Data Report
National Stock Exchange, Inc.(NSX®) announced that assets in U.S. listed Exchange-Traded Funds (ETF) and Exchange-Traded Notes (ETN) totaled approximately $672.3 billion at August 2009 month-end, an increase of approximately 13% over August 2008 month-end when assets reached $596.6 billion. At the end of August 2009, the number of listed products totaled 854, compared to 819 listed products one year ago.
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Date 09/09/2009
Futures On MSCI USA, MSCI Emerging Markets And MSCI EAFE Indices Begin Trading On NYSE Liffe U.S. - NYSE Liffe U.S.’s First Equity Index Products - Attractive Global Index Exposure With Unique Cost Efficiencies For Investors
NYSE Liffe U.S., the innovative new U.S. futures exchange of NYSE Euronext (NYX), today announced that on September 8 it completed the first day of trading in its first three equity index futures products: MSCI USA Mini Index Futures (ticker: MUN); MSCI Emerging Markets Mini Index Futures (ticker: MME ); and MSCI EAFE Mini Index Futures (tickers: MFS).
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Date 09/09/2009
Morgan Stanley Joins ELX Futures As A Founding Partner
ELX Futures, L.P. (ELX Futures), a new fully regulated electronic futures exchange and Morgan Stanley (NYSE: MS), a leading global financial services firm, today announced that Morgan Stanley will join ELX Futures as a founding partner.
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Date 09/09/2009
UK's Financial Services Authority Fines Firm £14,000 For Financial Advice Failings
The Financial Services Authority (FSA) has today fined a Kent financial advice firm £14,000 for failing to demonstrate that its advice on investment products was suitable. The most serious failings related to Henry Neil Ltd’s (HNL) advice that customers give up segments of existing offshore investment bonds and reinvest the proceeds in new bonds, putting 13 customers at risk of buying unsuitable investment bonds. The problems at HNL were identified following visits by the FSA.
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