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FINRA Orders J.P. Turner To Pay More Than $700,000 In Restitution For Unsuitable Sales Of Leveraged And Inverse ETFs And For Excessive Mutual Fund Switching

Date 05/12/2013

The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered Atlanta-based broker-dealer J.P. Turner & Company, L.L.C. to pay $707,559 in restitution to 84 customers for sales of unsuitable leveraged and inverse exchange-traded funds (ETFs) and for excessive mutual fund switches.

Looking At Proxy Advisory Firms From The Investor’s Perspective, Commissioner Luis A. Aguilar, U.S. Securities And Exchange Commission, Proxy Advisory Firm Roundtable, Washington, D.C., Dec. 5, 2013

Date 05/12/2013

Let me start by welcoming each of the participants here today, as well as the public audience, whether here in person or watching by webcast. 

TSX Markets Top 20 Largest Consolidated Short Position Report - November 30, 2013

Date 05/12/2013

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 November 30, 2013.

ICE Futures Canada Sets Daily Volume Record In Canola Futures

Date 05/12/2013

IntercontinentalExchange Group (NYSE: ICE), the leading global network of exchanges and clearing houses, announced today that ICE Futures Canada reached a daily volume record of 51,805 contracts in Canola futures on December 4, 2013. The previous volume record was 49,165 contracts on June 9, 2010.

Study Shows Mid-Market Deals Remain The Cornerstone Of Global M&A Activity - NASDAQ OMX Report Reveals The Drivers And Motivators In The Mid-Market: M&A's Core

Date 05/12/2013

NASDAQ OMX's Corporate Solutions business (Nasdaq:NDAQ) today announced key findings from the Mid-Market: M&A's Core report produced in association with Mergermarket. Even with the recent glut of bulge-bracket M&A transactions, mid-market deals remain the cornerstone of global M&A activity, specifically in the range of US$10 million to US$250 million.

Program Trading Averaged 29.8 Percent Of NYSE Volume During Nov. 25-29

Date 05/12/2013

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms' executed volume from NYSE's orders database.  The report includes trading on the NYSE for Nov. 25-29.

Finansinspektionen (FI) - Swedish Financial Supervisory Authority: Tougher Requirements On Banks – Small Effects On Households And Firms

Date 05/12/2013

Higher and stricter requirements on the banks have had small effects on lending rates to households and firms. The banks’ mortgage margins decreased slightly during the third quarter. These are the conclusions from FI's quarterly report on the banks' interest rates and lending.

SIX Financial Information Joins NYSE’s SFTI Network As A Content Service Provider

Date 05/12/2013

SIX Financial Information today announced that it has reached an agreement to become a Content Service Provider (CSP) on NYSE’ Secure Financial Transaction Infrastructure® (SFTI®) network. The global SFTI network provides the reach and scalability to dramatically extend global distribution capabilities to SIX clients.

Remarks Of U.S. Treasury Secretary Lew At Pew Charitable Trusts

Date 05/12/2013

I want to thank Sheila for that kind introduction and for all the work she continues to do advancing the cause of financial reform.  I would also like to thank Pew for the work you do and for hosting me here today.  I want to spend a few minutes discussing how far we have come to repair the weaknesses that shook our financial system to its core just a few years ago, the progress we have made reshaping our financial architecture, and what we need to do to remain vigilant to make sure our financial system is safe in the future.

BM&FBOVESPA Publishes November Market Performance

Date 05/12/2013