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Federal Reserve Board Releases Economic And Financial Market Scenarios That Will Be Used In Next Round Of Stress Tests For Large Financial Institutions

Date 15/11/2012

The Federal Reserve Board on Thursday released the economic and financial market scenarios that will be used in the next round of stress tests for large financial institutions.
Canadian Derivatives Clearing Corporation Confirms Withdrawal Of S&P Rating

Date 15/11/2012

The Canadian Derivatives Clearing Corporation (CDCC) today confirmed that it has requested that its Standard and Poor's (S&P) AA rating be withdrawn. Earlier today, S&P announced that it was affirming CDCC's corporate rating and withdrawing the rating at CDCC's request, effective December 31, 2012.
FIF Capacity Statistics For October 2012

Date 15/11/2012

FIVE NEW RECORD PEAKS: NASDAQ TotalView – ITCH, Deutsche Börse CEF Core Eurex, BATS Options MCASTPITCHAGG, Deutsche Börse CEF Core Total and Direct Edge EDGX
BP To Pay $525 Million Penalty To Settle SEC Charges Of Securities Fraud During Deepwater Horizon Oil Spill

Date 15/11/2012

The Securities and Exchange Commission today charged BP p.l.c. with misleading investors while its Deepwater Horizon oil rig was gushing into the Gulf of Mexico by significantly understating the flow rate in multiple reports filed with the SEC.
MassMutual To Pay $1.625 Million After SEC Investigation Highlights Prior Insufficient Disclosures About Annuity Product - MassMutual Changes Product Before Any Investors Harmed

Date 15/11/2012

The Securities and Exchange Commission today charged Massachusetts Mutual Life Insurance Company with securities law violations for failing to sufficiently disclose the potential negative impact of a "cap" it placed on a complex investment product that investors were planning to use for retirement.

Effective Small Business Capital Formation Requires Investor Protection To Foster Investor Confidence By Commissioner Luis Aguilar, U.S. Securities And Exchange Commission

Date 15/11/2012

I would like to add my welcome to the panel members and other participants in today’s Forum on Small Business Capital Formation. I also want to welcome the members of the public in attendance, as well as those viewing by webcast. Before I begin, let me note that these remarks are my own, and do not necessarily reflect the views of the Securities and Exchange Commission, my fellow Commissioners, or the Commission’s staff.
IMF Releases Results Of 2011 Coordinated Portfolio Investment Survey

Date 15/11/2012

The International Monetary Fund (IMF) today released preliminary results from its 2011 annual Coordinated Portfolio Investment Survey (CPIS), the only global survey of portfolio investment holdings. The CPIS collects information on the stock of cross-border holdings of equities and long- and short-term debt securities broken down by the economy of residence of the issuer. The results—identifying the value of positions in equity and debt securities as of end–2011—cover 73 CPIS-participating economies, compared to 76 that reported data for end–2010.
SEC Receives More Than 3,000 Whistleblower Tips In FY2012

Date 15/11/2012

Over the past year, the Securities and Exchange Commission received more than 3,000 whistleblower tips from all 50 states and from 49 countries, according to the agency's 2012 Annual Report on the Dodd-Frank Whistleblower Program released today.
Program Trading Averaged 28.1 Percent Of NYSE Volume During Nov. 5-9

Date 15/11/2012

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. 5-9.
SEC Issues Staff Summary Report Of Examinations Of Nationally Recognized Statistical Rating Organizations

Date 15/11/2012

The Securities and Exchange Commission today issued its second annual staff report on the findings of examinations of credit rating agencies registered with the SEC as Nationally Recognized Statistical Rating Organizations (NRSROs). The staff determined that with one exception, all NRSROs appropriately addressed the staff's recommendations in the first annual report in 2011. In addition, the staff announced a new initiative to highlight compliance issues at credit rating agencies between examinations.