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Date 11/12/2012
NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date November 30, 2012
At the end of the settlement date of November 30, 2012, short interest in 2,157 NASDAQ Global MarketSM securities totaled 7,417,693,054 shares compared with 7,228,550,429 shares in 2,161 Global Market issues reported for the prior settlement date of November 15, 2012. The end-of-November short interest represents 4.53 days average daily NASDAQ Global Market share volume for the reporting period, compared with 4.00 days for the prior reporting period.
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Date 11/12/2012
NYSE MKT Issues Short Interest Report
NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of November 30, 2012.
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Date 11/12/2012
UK Serious Fraud Office - LIBOR: Three Arrested
Today the Serious Fraud Office, with the assistance of the City of London Police, executed search warrants at three residential premises in Surrey (1) and Essex (2). Three men, aged 33, 41 and 47, have been arrested and taken to a London police station for interview in connection with the investigation into the manipulation of LIBOR. The men are all British nationals currently living in the United Kingdom.
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Date 11/12/2012
Dubai SME And NASDAQ Dubai Sign Agreement To Support Growth And Expansion Of SME Sector - Options Include Initial Public Offering (IPO) On Region's International Exchange - Partnership Promotes Success Of SME Sector In Supporting Dubai's Continuing Economic Growth
Dubai SME, the agency of the Department of Economic Development (DED) mandated to develop the small and medium enterprise (SME) sector, and NASDAQ Dubai, the region's international exchange, today signed an agreement to guide SMEs towards suitable financing options to fund their growth, including carrying out an initial public offering (IPO).
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Date 11/12/2012
SEC Charges New York-Based Fund Manager With Conducting Fraudulent Trading Schemes
The Securities and Exchange Commission today charged a New York-based fund manager with conducting a pair of illegal trading schemes to financially benefit his investment fund Octagon Capital Partners LP.
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Date 11/12/2012
Federal Reserve Board Issues Consent Cease And Desist Order, And Assesses Civil Money Penalty Against HSBC Holdings PLC And HSBC North America Holdings, Inc.
The Federal Reserve Board on Tuesday issued a consent cease and desist order against HSBC Holdings plc, London, United Kingdom, (Holdings) and assessed a $165 million civil money penalty against Holdings and its subsidiary in the United States, HSBC North America Holdings, Inc., New York, New York (HNAH). The civil money penalty is the largest the Federal Reserve has assessed as a result of unsafe and unsound practices related to insufficient compliance with Bank Secrecy Act and anti-money laundering requirements, and U.S. economic sanctions.
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Date 11/12/2012
SEC Charges New Jersey-Based Consultant To Chinese Reverse Merger Companies With Violating Securities Laws
The Securities and Exchange Commission today charged a New Jersey-based consultant with violating securities laws and defrauding some investors while helping Chinese companies gain access to the U.S. capital markets.
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Date 11/12/2012
European Commission Statement On The Authorisation Of Enhanced Cooperation For The Financial Transactions Tax
Chair, Honourable Members,
I wish first to thank the European Parliament, and in particular the rapporteur, Mrs Anni Podimata, for its excellent work and its support on this important file.
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Date 11/12/2012
CFTC’s Division Of Market Oversight Provides Time-Limited No-Action Relief To Provide Certain Exemptive Relief Consistent With The Expiring July 2012 Exemptive Order
The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced the issuance of a time-limited no-action letter providing temporary no-action relief consistent with the intent to preserve the regulatory status quo with respect to transactions and persons described in certain paragraphs of the Commission’s expiring Second Amendment to July 14, 2011 Order (due to expire on December 31, 2012) and the conditions thereto, by permitting transactions and relevant persons to continue to operate in compliance with various CEA exemptive and excluding provisions in place prior to July 16, 2011, subject to, among other conditions, various anti-fraud and anti-manipulation prohibitions.
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Date 11/12/2012
UK’s Financial Services Authority Requires Action Of The HSBC Group
The Financial Services Authority (FSA), as lead regulator for the HSBC Group globally, is taking action in relation to issues in respect of HSBC’s compliance with anti-money laundering rules and US sanctions requirements. The FSA has worked closely with the relevant US authorities and this action is separate to, but coordinated with the actions taken by them.
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