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Date 29/05/2013
Remarks At Joint News Conference On National Financial Capability Study By SEC Chairman Mary Jo White
The FINRA Investor Education Foundation’s 2012 National Financial Capability Study provides a wealth of data regarding the financial knowledge, attitudes, and behaviors of Americans. It gives us a great sense of what Americans know, what they feel, and how they act when making investments and other financial decisions.
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Date 29/05/2013
French Oil And Gas Company, Total, S.A., Charged In The United States And France In Connection With An International Bribery Scheme
Total, S.A., a French oil and gas company that trades on the New York Stock Exchange, has agreed to pay a $245.2 million monetary penalty to resolve charges related to violations of the Foreign Corrupt Practices Act (FCPA) in connection with illegal payments made through third parties to a government official in Iran to obtain valuable oil and gas concessions, announced Acting Assistant Attorney General Mythili Raman of the Justice Department’s Criminal Division, and U.S. Attorney Neil H. MacBride for the Eastern of Virginia.
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Date 29/05/2013
NASDAQ Weekly Market Pulse - Japan Weaker, Asia & U.S. Volatile This Week As Global Markets Adjust To Central Bank Actions
Asian stocks sold off for the week after a 7% drop in Japanese share prices last Tuesday sparked selling in the region. The selloff was attributed to the Chinese Purchasing Managers' Index (PMI) and concerns about the U.S. Federal Reserve changing its current easing policies sooner than expected. While shares recovered some of the gains the following day, stocks in the region have been volatile. The NASDAQ ASPA INDEX (NQASPA) fell 4.9% over the past 5 days.
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Date 29/05/2013
Remarks Of Assistant Treasury Secretary For Financial Institutions Cyrus Amir-Mokri To The FINRA Investor Education Foundation
Thank you, Rick, for inviting me to be here and for leading FINRA's efforts in the important area of financial capability. I am privileged to stand here on behalf of Treasury with Chairman White, Director Cordray, and others across the government, academia, and the private sector who share Treasury's commitment to promoting the financial well-being of Americans. Secretary Lew also sends his congratulations and thanks.
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Date 29/05/2013
The Autorité Des Marchés Financiers Publishes A Guide For Investment Management Companies On The Impact Of The European Regulation On Clearing OTC Derivatives
With the aim of helping investment management companies fulfil their obligations under the European regulation on over-the-counter derivatives, central counterparties and trade repositories (EMIR), the AMF has published a guide explaining the implications of this new framework.
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Date 29/05/2013
CME Group Announces Treasury Futures Trading Volume Record - Interest Rate Complex Experienced Second Highest Volume Day Overall
CME Group, the world's leading and most diverse derivatives marketplace, today announced a record in daily trading volume for its Treasury futures complex on Tuesday, May 28, 2013. Total daily volume for Treasury futures reached 10,476,906 surpassing its previous record of 10,103,808 set on February 26, 2013.
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Date 29/05/2013
World Federation Of Exchanges Reports On High Frequency Trading
The World Federation of Exchanges (WFE) today released a review on High Frequency Trading (HFT), describing it as a technology that financial firms are embracing around the world. Besides, the study notes the many initiatives and risk management practices that exchanges have adopted to enhance the safety, stability and integrity of the markets.
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Date 29/05/2013
Richard G. Ketchum FINRA’s Chairman and Chief Executive Officer Remarks: National Financial Capability Study Release, George Washington University School of Business
Thank you, Doug [Guthrie], and thanks to everyone for joining us today. I am very excited to be here to release the findings of the 2012 National Financial Capability Study. And I'm equally excited to be doing so at George Washington University's Global Financial Literacy Excellence Center. The Center played a large role in this study and does tremendous work to improve financial capability in the U.S. and around the world.
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Date 29/05/2013
CFTC Orders FCStone LLC To Pay A $1.5 Million Civil Monetary Penalty For Failing To Have Risk Controls, In Violation Of Supervision Obligations
The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against FCStone LLC, a Futures Commission Merchant (FCM) headquartered in New York, New York, for failing to diligently supervise its officers and employees relating to its business as an FCM in violation of Commission Regulation 166.3, 17 C.F.R. § 166.3 (2008). FCStone failed to implement adequate customer credit and concentration risk policies and controls in 2008 and part of 2009, allowing one account (Account) to acquire a massive options position that it could not afford to maintain. Ultimately, FCStone was forced to take over the Account, and lost approximately $127 million. The CFTC Order requires FCStone to pay a civil monetary penalty of $1.5 million, retain an independent consultant to review its internal controls and procedures, and cease and desist from violating its supervisory obligations.
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Date 29/05/2013
SEC Charges Nasdaq For Failures During Facebook IPO
The Securities and Exchange Commission today charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial public offering (IPO) and secondary market trading of Facebook shares. NASDAQ has agreed to settle the SEC’s charges by paying a $10 million penalty – the largest ever against an exchange.
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