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Date 04/05/2011
SEC Charges UBS With Fraudulent Bidding Practices Involving Investment Of Municipal Bond Proceeds - UBS To Pay $160 Million To Settle Charges
The Securities and Exchange Commission today charged UBS Financial Services Inc. (UBS) with fraudulently rigging at least 100 municipal bond reinvestment transactions in 36 states and generating millions of dollars in ill-gotten gains.
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Date 04/05/2011
FINRA Alert Warns Of Japan Earthquake Related Investment Scams
The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert today warning investors of investment scams centered on Japan's recent earthquake and nuclear crisis. The con artists behind these "pump and dump" scams seek to capitalize on the media spotlight on Japan's recent disasters by linking a company's products or services to efforts ranging from the detection of gamma rays and the clean-up of nuclear waste to the development of earthquake-resistant structures.
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Date 04/05/2011
SIFMA Supports Passage Of Deadline Extension Legislation For Dodd-Frank Derivatives Rulemaking
SIFMA today released the following statement from Ken Bentsen, executive vice president, public policy and advocacy, upon passage by the House Agriculture Committee of H.R. 1573, legislation that would extend the effective implementation date for the derivatives-related section of the Dodd-Frank Act.
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Date 04/05/2011
TSX Top 20 Largest - Consolidated Short Position Report – Highlights - April 30, 2011
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 April 30, 2011.
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Date 04/05/2011
BME Expands Its IBEX 35® Index Family - The New Indices Will Be Calculated And Disseminated In Real Time As Of 19th May
Bolsas y Mercados Españoles (BME) expands its IBEX 35® index family with three new tradable indices, all of which are based on the IBEX35®. The new indices, called IBEX 35® DOUBLE LEVERAGE GROSS, IBEX 35® DOUBLE LEVERAGE NET and IBEX 35® CAPPED NET RETURN will start to be calculated and disseminated in real time from May 19th.
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Date 04/05/2011
SEC Charges Six Executives With Financial Fraud At Brooke Corporation
The Securities and Exchange Commission today charged six former leading executives affiliated with a Kansas-based financial corporation with hiding critical information from investors and conducting a financial fraud.
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Date 04/05/2011
Testimony Before The Senate Committee On Appropriations Subcommittee On Financial Services And General Government - CFTC Chairman Gary Gensler
Good morning Chairman Durbin, Ranking Member Moran and members of the Subcommittee. I thank you for inviting me to today’s hearing on the Commodity Futures Trading Commission’s (CFTC) fiscal year (FY) 2012 budget request. I am pleased to testify on behalf of the Commission.
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Date 04/05/2011
BOX Price Improvement Activity Continues Its Torrid Pace
In the month of April, price improved contracts on BOX averaged 293,308 per day, its third highest total ever!
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Date 04/05/2011
Commodity Futures Trading Commission Votes To Establish a New Subcommittee Of The Technology Advisory Committee (TAC) - New Subcommittee On Data Standardization Is Seeking Nominations For Members
Commissioner Scott D. O’Malia, the chairman of the Technology Advisory Committee (TAC), announces that the Commission has voted to establish a Subcommittee on Data Standardization to develop recommendations regarding a standardized reference data depository representing the universe of legal and financial terms utilized in describing, defining, and valuing the various derivatives and other financial instruments which are presently and in the future may be traded on and off of regulated exchanges. The creation of standardized reference points and data terms is anticipated to aid in the development and use of universal entity, product, and/or instrument identifiers and provide greater consistency in the collection, reporting, and management of individual transactions, underlying legal documents (including master agreements and credit support agreements), and risk exposures.
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Date 04/05/2011
Speech By SEC Commissioner Elisse B. Walter: Keynote Address At The National Federation Of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference
Good morning and thank you, Jennifer, for that kind introduction. I am delighted to be here today to speak with you about the SEC’s efforts with respect to the municipal securities market. My interest in this subject dates back to my prior tenure at the Commission, when I worked on municipal securities disclosure issues — in particular the Commission’s 1994 antifraud interpretive release. I left the SEC staff shortly after the interpretive release was issued, although I can assure you that my departure was unrelated to my work on that release. Fourteen years went by until I rejoined the SEC in 2008 as a Commissioner. Not only was I delighted to return to the agency where I grew up professionally, I was pleased to once again be in a position to devote my energy to improving the state of the municipal securities market for the benefit of investors.
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