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FINRA Fines Southwest Securities, Inc. $650,000 For Compliance Failures That Permitted Correspondent Firm Cutler Securities To Cause A $6.3 Million Single-Day Loss Through Improper Short Sales - FINRA Also Expels Cutler Securities And Bars President

Date 22/03/2011

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Southwest Securities, Inc., of Dallas, $650,000 for deficiencies in due diligence, risk assessment and written supervisory procedures that permitted one of its correspondent firms, Cutler Securities, to create risk for Southwest through improper short sales. FINRA also required Southwest to designate a risk management officer to identify and manage the risks associated with its correspondent clearing services business. In addition, FINRA expelled Cutler Securities and barred its President, Glenn Cutler, for Cutler Securities' violative short selling.
SIFMA Comments To SEC On Proposed Amendments To Rule G-23

Date 22/03/2011

Today, SIFMA filed a letter to the Securities and Exchange Commission with comments relating to the proposed amendments to Rule G-23: Activities of Financial Advisors.
NASDAQ OMX And National Association Of Corporate Directors Announce Unique Partnership

Date 22/03/2011

NASDAQ OMX (Nasdaq:NDAQ) today announced a unique partnership with the National Association of Corporate Directors (NACD) to provide corporate directors and board executives with NACD's leading suite of director education and board development programs.
Markit Launches Markit iTraxx SovX Latin America Index

Date 22/03/2011

Markit, a leading, global financial information services company, today announced the launch of the Markit iTraxx SovX Latin America index to complement its Markit iTraxx SovX family of sovereign credit default swap (CDS) indices.
Instinet's Analysis Of The Recent Market Hours Changes In Asia-Pacific - Asia-Pacific Market Hours Changes: A Distraction?

Date 22/03/2011

Lunch breaks on several Asia-Pacific exchanges are gettingshorter or going away altogether, resulting in a longer overalltrading day in Japan, Hong Kong and Singapore.

Remarks By CFTC Chairman Gary Gensler - OTC Derivatives Reform, European Parliament, Economic And Monetary Affairs Committee, Brussels, Belgium

Date 22/03/2011

Good afternoon Chairwoman Bowles and members of the Economic and Monetary Affairs Committee. I thank you for inviting me to speak today on regulatory reform of over-the-counter (OTC) derivatives, or swaps.
Deutsche Börse: New ETFlab Bond Index ETF Launched On Xetra

Date 22/03/2011

Deutsche Börse is further expanding its XTF segment for exchange-listed index funds on the Xetra trading platform. A new ETF issued by ETFlab was admitted to trading on Tuesday.
Total Net Profit Of Thai Listed Firms Grows 38.98% In 2010 Over 2009

Date 22/03/2011

Companies on the Thai bourse, excluding property funds, reported better performances in 2010 due to higher earnings and returns on investment that led their combined net profit to rise 38.98% from 2009, The Stock Exchange of Thailand (SET) revealed.
IntercontinentalExchange: Creditex Expands Electronic CDS Trading In North America - Extends Leadership In Credit Derivatives Automation In Advance Of Financial Reform Implementation

Date 22/03/2011

IntercontinentalExchange (NYSE: ICE), a leading operator of global futures exchanges, over-the-counter (OTC) markets and clearing houses, announced that Creditex, a wholly-owned subsidiary of ICE and a global leader in interdealer trade execution for credit derivatives, has expanded its electronic trading capabilities and products for credit default swaps (CDS) for the North American market.
Thai Bourse Joins 8 Financial Institutions In “Banker To Broker” Project

Date 22/03/2011

The Thai stock market has joined 4 banks and 4 securities companies in launching the “Banker to Broker” Project to expand the investor base. Well-trained bank customer service officials in more than 2,400 bank branches nationwide will help clients to invest prudently and refer them to affiliated securities companies.