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Date 12/03/2014
STOXX ASEAN-Five Select Dividend 50 Index Licensed To Nomura To Underlie Exchange-Traded Note - First Exchange-Traded Product Based On A STOXX Index Listed On Tokyo Stock Exchange
STOXX Limited, a leading provider of innovative, tradable and global index concepts, today announced that the STOXX ASEAN-Five Select Dividend 50 Index was licensed to Nomura Asset Management to serve as the basis for an exchange-traded note (ETN) available today on Tokyo Stock Exchange. This is the first time that the STOXX ASEAN-Five Select Dividend 50 Index, which selects the 50 highest dividend paying companies from five member states of the Association of Southeast Asian Nations (ASEAN), will be used as an underlying for a ETN.
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Date 12/03/2014
Statement On The Proposal Of Rules Related To Registered Clearing Agencies, SEC Commissioner Kara M. Stein, Washington, D.C., March 12, 2014
Today, the Commission considers changes to the regulation of registered clearing agencies. I want to echo my colleagues’ thanks to the staff who have worked on this proposal, in particular Katherine Martin and Narahari Phatak.
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Date 12/03/2014
Moscow Exchange: Settlement Of Futures And Options In March 2014
On 14 March 2014, futures and options will be settled via the Derivatives Market and Standard Sector's unified settlement system.
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Date 12/03/2014
Enhancing The Stability And Safety Of Clearing Agencies - SEC Commissioner Luis A. Aguilar, SEC Open Meeting, Washington, D.C
About 40 years ago, Congress gave the Commission the statutory authority to facilitate the establishment of a national system for clearing and settling securities transactions.[1] With this authority, the Commission passed rules and adopted an infrastructure to register and regulate clearing agencies.[2] Today, clearing agencies play a vital role in the structural framework of the global capital markets.
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Date 12/03/2014
Nigerian Stock Exchange (NSE), Central Bank of Nigeria (CBN) Reshape The Future Of Finance
The Nigerian Stock Exchange (NSE) in partnership with the country’s apex bank, the Central Bank of Nigeria (CBN) and Child and Youth Finance International (CYFI) will be hosting a series of events across the country in the second week of March 2014 to celebrate Global Money Week 2014 and help mould the future executives of Corporate Nigeria. The financial literacy initiative involve key senior officers of The NSE, CBN and other financial powerhouses being deployed across the 36 States of Nigeria for the school engagement activities.
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Date 12/03/2014
SEC Charges Jefferies LLC With Failing To Supervise Its Mortgage-Backed Securities Desk During Financial Crisis
The Securities and Exchange Commission today charged global investment bank and brokerage firm Jefferies LLC with failing to supervise employees on its mortgage-backed securities desk who were lying to customers about pricing.
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Date 12/03/2014
CBOE Announces April 10 Launch Date For CBOE Short-Term VIX Options With Weekly Expirations
Chicago Board Options Exchange® (CBOE®) today announced that it plans to launch trading of options with weekly expirations on the CBOE Short-Term Volatility IndexSM (ticker symbol: VXSTSM) on Thursday, April 10, pending regulatory approval.
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Date 12/03/2014
FINRA Fines Triad Advisors And Securities America A Total Of $1.2 Million For Consolidated Reporting Violations
The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned and fined two firms — Triad Advisors and Securities America — $650,000 and $625,000, respectively, for failing to supervise the use of consolidated reporting systems resulting in statements with inaccurate valuations being sent to customers, and for failing to retain the consolidated reports in accordance with securities laws. In addition, Triad was ordered to pay $375,000 in restitution.
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Date 12/03/2014
CBOE Plans To Invest In Tradelegs - Software Uses Proprietary Analytics To Assist Institutional Investors In Developing Options Strategies
CBOE Holdings, Inc. (NASDAQ: CBOE) announced today that it plans to invest in Tradelegs, the developer of advanced decision-support software that institutional investors can employ to optimize investment performance.
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Date 12/03/2014
Madrid Stock Exchange 2013 Ombudsman Report - Rise In Requests For Information Filed By Issuers - Which Become The 3rd Main Type Of Applicant
- The number of claims remains stable, at 20, while the absence of contentiousness continues
- Complaints outside the Ombudsman’s remit rise to 36% of the total
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