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FINRA Launches New Disciplinary Actions Database
Web-Based Tool Allows Public Access to Disciplinary Documents
May 16, 2011--The Financial Industry Regulatory Authority (FINRA) today announced the launch of the FINRA Disciplinary Actions Online database, a web-based searchable system that makes its disciplinary actions accessible via its website at www.finra.org.
The database enables users to perform searches for FINRA actions free of charge, seven days a week. Users may search for actions by case number, document text, document type, action date (by date range), a combination of document text and action date, individual name and Central Registration Depository (CRD®) number, or firm name and CRD number. The documents can be viewed online, printed, or downloaded as text-searchable PDF files.
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Source: FINRA
BATS Global Markets Formally Files Rules For U.S. Primary Listings Business - Targets Rollout In Fourth Quarter Of 2011
May 16, 2011--BATS Global Markets (BATS), a global operator of securities and derivatives markets, today announced the formal filing of rules for its U.S. primary listings business with the Securities and Exchange Commission (SEC).
The new BATS listings venue, which the firm plans to launch in the fourth quarter of 2011, will create a competitive alternative to the incumbent exchanges which currently offer listings services for companies considering the IPO process. A copy of the rule filing SR-BATS-2011-018 is available on the BATS website.
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Source: Business Wire
Treasury International Capital Data for March
May 16, 2011-- The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for March 2011. The next release, which will report on data for April 2011, is scheduled for June 15, 2011.
Net foreign purchases of long-term securities were $24.0 billion.
Net foreign purchases of long-term U.S. securities were $54.7 billion. Of this, net purchases by private foreign investors were $44.9 billion, and net purchases by foreign official institutions were $9.9 billion.
U.S. residents purchased a net $30.7 billion of long-term foreign securities.
Net foreign acquisition of long-term securities, taking into account adjustments, is estimated to have been $11.7 billion.
Foreign holdings of dollar-denominated short-term U.S. securities, including U.S. Treasury bills and other custody liabilities, decreased $18.3 billion. Foreign holdings of U.S. Treasury bills decreased $21.9 billion.
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Source: US Department of the Treasury
JP Morgan files with the SEC
May 13, 2011-JP Morgan has filed Amendment no. 3 to Form S-1 for the J.P. Morgan Physical Copper Trust.
view filing
Source: SEC.gov
Van Eck files with the SEC
May 13, 2011--Van Eck has filed a post-effective amendment, registration statement with the SEC for the
Market Vectors Municipal Bond Closed-End Fund ETF.
view filing.
Source: SEC.gov
Direxion files with the SEC
May 13, 2011--Direxion has filed a post-effective amendment, registration statement with the SEC for the
Quantum-ISE Enhanced Broad Market Shares
Quantum-ISE Enhanced Large-Cap Shares
Quantum-ISE Enhanced Small-Cap Share
view filing
Source: SEC.gov
Russell Files with the SEC
May 13, 2011--Russell has filed a post-effective amendment, registration statement with the SEC for
Russell Aggressive Growth ETF (AGRG)
Russell Consistent Growth ETF(CONG)
Russell Growth at a Reasonable Price ETF(GRPC)
Russell Contrarian ETF (CNTR)
Russell Equity Income ETF (EQIN)
Russell Low P/E ETF (LWPE)
Russell Small & Mid Cap Defensive Value ETF (SMDV)
Russell Small Cap Defensive Value ETF (SCEQ)
view filing
Source: SEC.gov
Schwab files with the SEC
May 13,2011--Charles Schwab has filed a post-effective amendment, registration statement with the SEC.
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Source: SEC.gov
ProFunds names Richard Eng COO
May 13, 2011--ProFunds Group, a premier provider of alternative ETFs and mutual funds, announced today that Richard Eng has been named Chief Operations Officer. Mr. Eng, most recently with Legg Mason Capital Management, will oversee fund and investor services, financial administration, and information technology. He reports to Michael L. Sapir, Chairman and CEO of ProShare Advisors LLC and ProFund Advisors LLC.
"With over 15 years of operations and technology experience in the investment management business, Rick is an outstanding addition to our team," said Mr.
Sapir. "Rick's oversight and guidance in many significant areas, including our investment operations, shareholder servicing, and technology strategy will be particularly valuable as we continue to expand our lineup of alternative ETFs and mutual funds." Mr. Eng was most recently with Legg Mason Capital Management as Chief Operating Officer. During his tenure at Legg Mason, he oversaw professionals in the areas of investment operations, client reporting and production, settlements, trading, information technology, and finance.
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Source: CNBC
Standard & Poor's Announces Changes In The S&P/TSX Canadian Indices
May 13, 2011--Standard & Poor's Canadian Index Operations announces the following index changes:
The shareholders of Plutonic Power Corp. (TSX:PCC) have agreed to the merger with Magma Energy Corp. (TSX:MXY) to form Alterra Power Corp. (TSX:AXY).
Plutonic Power shareholders will receive 2.38 shares of the new Alterra Power for each share held. Plutonic Power will be removed from the S&P/TSX Clean Technology Index after the close of Tuesday, May 17, 2011.
Following the merger with Plutonic Power, the relative weight of Alterra Power Corp. will increase in the S&P/TSX Clean Technology, SmallCap and Equity SmallCap Indices to reflect the issuance of shares as part of the transaction effective at the same date.
Company additions to and deletions from an S&P equity index do not in any way reflect an opinion on the investment merits of the company.
Source: Standard & Poors
