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Rating Action: Moody's Downgrades Firms With Global Capital Markets Operation

Date 21/06/2012

Moody's Investors Service today repositioned the ratings of 15 banks and securities firms with global capital markets operations. The long-term senior debt ratings of 4 of these firms were downgraded by 1 notch, the ratings of 10 firms were downgraded by 2 notches and 1 firm was downgraded by 3 notches. In addition, for four firms, the short-term ratings of their operating companies were downgraded to Prime-2. All four of those firms also now have holding company short-term ratings at Prime-2. The holding company short-term ratings of another two firms were downgraded to Prime-2 as well.
CBOE, C2, CFE, And CBSX Trading Schedule For Independence Day Holiday

Date 21/06/2012

CBOE Holdings, Inc. (NASDAQ: CBOE) today announced the trading schedule for Chicago Board Options Exchange (CBOE), C2 Options Exchange (C2), CBOE Futures Exchange (CFE) and CBOE Stock Exchange (CBSX) in observance of the Independence Day holiday.
Daju Gu Appointed President Of Razor Risk

Date 21/06/2012

TMX Group Inc.'s (TSX:X) technology business, TMX Technology Solutions, today announced the appointment of Daju Gu as President, Razor Risk. Mr. Gu will be responsible for the overall management of all Razor Risk's operations, as well as overseeing the organization's functional and technological roadmap.
Federal Court In Texas Orders Linda Harris, Chance Harris, CDH Forex Investments, LLC, And CDH Global Holdings, LLC, To Pay Over $5.4 Million In Restitution And A Monetary Sanction For Forex Fraud

Date 21/06/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order imposing more than $5.4 million in restitution and a civil monetary penalty on defendants Linda Harris, Chance Harris and their companies, CDH Forex Investments, LLC (CDH Forex) and CDH Global Holdings, LLC (CDH Global), all of Flower Mound, Texas, for fraud in connection with the operation of a commodity pool and managed accounts trading off-exchange foreign currency (forex) contracts.
NASDAQ Dubai Monthly Trading Report: May 2012

Date 21/06/2012

he value of equities traded on NASDAQ Dubai in May 2012 reached 38.3 million dollars. This was an increase of 4% from 36.9 million dollars in April 2012 and a fall of 39% from 63.2 million dollars in May 2011.

SEC Charges Florida Broker In Astrology-Based Ponzi Scheme

Date 21/06/2012

The Securities and Exchange Commission today charged that a former broker in Orlando, Fla., defrauded investors in an astrology-based Ponzi scheme.
Semi-Annual Review Of The OMX Iceland 6 Index

Date 21/06/2012

The NASDAQ OMX Group, Inc. (NASDAQ:NDAQ) announces today the results of the semi-annual review of the OMX Iceland 6 Index, (NASDAQ OMX Iceland: OMXI6ISK), which will become effective at the market open on Monday July 2, 2012.
FINRA Fines Merrill Lynch $2.8 Million For Overcharging Customers; $32 Million In Remediation Paid To Affected Customers

Date 21/06/2012

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8 million for supervisory failures that resulted in overcharging customers $32 million in unwarranted fees, and for failing to provide certain required trade notices. Merrill Lynch has provided $32 million in remediation, plus interest, to the affected customers.
Program Trading Averaged 39.3 Percent Of NYSE Volume During June 11-15

Date 21/06/2012

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 June 11-15.
SEC Charges Two New Jersey-Based Firms And Owner In Stock-Lending Scheme

Date 21/06/2012

The Securities and Exchange Commission today charged a New Jersey businessman with running a stock-lending scheme that defrauded public company officials and brought restricted stock to the market.