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Governance-Related ASX-Listing Rule Changes Deferred

Date 19/12/2013

ASX is considering public submissions received on the proposed governance-related changes to its Listing Rules and, consequently, will defer the originally planned start date for some of those rules of 1 January 2014.
Notice Of Issuing "Measures On Online Subscribing For IPO-Related Shares According To Market Capitalization On Shanghai Market"

Date 19/12/2013

To rationalize the business of online subscription for IPO-related shares according to market capitalization on Shanghai market, which involves the companies planning to be listed on the Shanghai Stock Exchange (SSE), the SSE and China Securities Depository and Clearing Corporation Limited have jointly formulated the "Measures on Online Subscribing for IPO-related Shares according to Market Capitalization on Shanghai Market" (the "Measures" for short) according to relevant rules and regulations such as the "Administration Measures on Securities Issuance and Underwriting", the "China Securities Regulatory Commission’s Opinions on Promoting Reform of New Share Issuance System", and the "Provisional Rules on Public Offering of Shares by Shareholders for IPO Companies". The "Measures" is hereby released, and all relevant parties are required to abide by the "Measures".
TSX Markets Top 20 Largest Consolidated Short Position Report - November 30, 2013

Date 19/12/2013

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending December 15, 2013.
Remarks By Acting Assistant U.S. Attorney General Mythili Raman For The Convergex Resolution Press Call

Date 18/12/2013

Today, we announce significant developments in a securities fraud investigation involving the large-scale theft of client funds by a global brokerage and trading firm.
Nadex Announces New CEO, Tim McDermott

Date 18/12/2013

The North American Derivatives Exchange (NADEX) is pleased to announce the selection of Tim McDermott, a senior member of the current management team, as the new CEO.

Convergex Group Subsidiary And Two Employees Plead Guilty To Securities And Wire Fraud Charges

Date 18/12/2013

A brokerage subsidiary of ConvergEx Group LLC pleaded guilty today to charges of wire fraud and conspiracy to commit securities fraud and wire fraud. ConvergEx Group has also agreed to pay $43.8 million in criminal penalties and restitution as part of a deferred prosecution agreement with the Department of Justice. In addition, Jonathan Daspin, the head trader at the brokerage subsidiary, and Thomas Lekargeren, a sales trader at a different ConvergEx subsidiary, both pleaded guilty today to conspiracy to commit securities and wire fraud.
SEC Proposes Rules To Increase Access To Capital For Smaller Companies

Date 18/12/2013

The Securities and Exchange Commission today voted to propose rules intended to increase access to capital for smaller companies.
Statement From New York Attorney General Schneiderman On Acting New Jersey Attorney General’s Lawsuit Against Credit Suisse

Date 18/12/2013

The following statement can be attributed to Attorney General Eric T. Schneiderman in response to Acting New Jersey Attorney General John J. Hoffman’s lawsuit against Credit Suisse over residential mortgage-backed securities.
SEC Charges ConvergEx Subsidiaries With Fraud For Deceiving Customers About Commissions

Date 18/12/2013

The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global trading services provider that caused many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders.
Remarks At SEC Open Meeting - Promoting Investor Protection In Small Business Capital Formation - SEC Commissioner Luis A. Aguilar, U.S. Securities and Exchange Commission, Washington, D.C., Dec. 18, 2013

Date 18/12/2013

Today, the Commission proposes rules to implement Title IV of the JOBS Act. As mandated by that Act, the proposed rule would allow companies to issue a class of securities that are exempted from the registration and prospectus requirements of the Securities Act, provided that certain conditions are met. This is the third major rulemaking undertaken by the Commission to comply with the JOBS Act since its adoption last year.