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NZX Monthly Metrics - November 2012

Date 04/12/2012

Please see the attached Monthly Shareholder Metrics for November 2012

Attachments

• Monthly Metrics - November 2012

SGX Securities And Derivatives Trading Grow In November

Date 04/12/2012

Singapore Exchange (SGX) today said securities and derivatives trading grew in November from a year earlier.

CFTC Settles Charges Against Deepak Singhal And Meera Singhal For Engaging In Illegal Trading Scheme - Federal Court In Illinois Orders Deepak Singhal To Pay $258,868 For Non-Competitive, Fictitious Trading

Date 04/12/2012

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a $258,868.75 judgment against defendant Deepak Singhal. The consent order of permanent injunction, entered by the Honorable Amy J. St. Eve of the U.S. District Court for the Northern District of Illinois, requires Deepak Singhal to pay $118,868.75 in disgorgement and a $140,000 civil monetary penalty. Additionally, the consent order bans Deepak Singhal from engaging in any commodity-related activity for a period of five years and bans defendant Meera Singhal for a period of two years. The consent order stems from a CFTC complaint filed on January 9, 2012 (see CFTC Press Release 6168-12, January 12, 2012).

Direct Edge Regulatory Notice #12-09: Consolidated Audit Trail In-Person Event On December 10, 2012 In New York, NY

Date 04/12/2012

Please note that the venue for this event has changed. The event will now be held at the Marriott Downtown, 85 West Street, New York, NY 10006.

European Commission Vice-President Rehn's Remarks At The ECOFIN Press Conference

Date 04/12/2012

Good afternoon. As Finance Minister Shiarly said, today’s ECOFIN addressed several important issues and I will refer to two of them, two proposals that are of fundamental relevance to our efforts to restore confidence and to lay the foundations for a deep and genuine EMU.

LME Visits India For Education Tour

Date 04/12/2012

The London Metal Exchange (LME) this week visits Mumbai and New Delhi as part of an educational tour of India. The sell-out tour, which consists of day-long seminars for Indian delegates, has received enormous support from Indian industry.

Vienna Stock Exchange Monthly Statistics Derivatives Market November 2012

Date 04/12/2012

Click here to download Vienna Stock Exchange's derivatives market detailed statistics for November 2012.

CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues A No-Action Letter For Business Development Companies

Date 04/12/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter to operators of business development companies. The letter states that DSIO will not recommend that the CFTC take enforcement action against the operators of business development companies for failure to register as commodity pool operators under the Commodity Exchange Act and the CFTC’s regulations, subject to certain conditions described in the letter, including compliance with a de minimis trading threshold.

TMX Group Consolidated Trading Statistics – November 2012 - Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Alpha, Montreal Exchange, NGX

Date 04/12/2012

TMX Group Limited today announced November 2012 trading statistics for its diversified group of exchanges – Toronto Stock Exchange, TSX Venture Exchange, Montreal Exchange (MX), Natural Gas Exchange (NGX), TMX Select and Alpha.

CFTC Files Complaint In Federal Court Against Eric Moncada, BES Capital LLC, And Serdika LLC Alleging Attempted Manipulation Of Wheat Futures Contract Prices, Fictitious Sales, And Non-Competitive Transactions - CFTC Seeks Civil Monetary Penalties, Trading And Registration Bans, And Permanent Injunctions

Date 04/12/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a complaint in the U.S. District Court for the Southern District of New York charging Eric Moncada(Moncada), a CFTC-registered floor broker, BES Capital LLC (BES), and Serdika LLC (Serdika) with attempted manipulation of prices of the December 2009 #2 Soft Red Winter Wheat futures contract (December 2009 Wheat Futures Contract) traded on the Chicago Board of Trade (CBOT). The CFTC complaint alleges that Moncada engaged in this unlawful conduct as an employee or agent of both BES and Serdika on numerous days in October 2009.