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FINRA Fines Wachovia Securities And First Clearing $1.1 Million For Failing To Provide Required Notifications To Customers - Firms Also Required To Retain Independent Consultant To Review Procedures
Date 24/03/2009
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wachovia Securities, LLC and First Clearing, LLC, both of St. Louis, MO, $1.1 million for the firms' failure to provide more than 800,000 required notifications to customers over a five-year period ending in 2008. As a part of the settlement with FINRA, the firms are required to retain an independent consultant to review their supervisory systems and processes.
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FORTS Weekly Trading Results: March 16 – 20, 2009
Date 24/03/2009
For the week of March 16 – March 20, 2009 the total trading volume on FORTS (Futures & Options on RTS) equaled 210.9 billion roubles or 8.7 million contracts, including 47.6 billion roubles during the evening trading session. The total open interest as of the last day of the week, March 20, 2009 reached 50.1 billion roubles or 2.1 million contracts.
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NASDAQ OMX, In Cooperation With Other U.S. Markets, Proposes A Modified Rule To Further Reduce Abusive Short Selling - A More Modern 'Uptick' Rule In Keeping With Today's Sophisticated Markets
Date 24/03/2009
The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today announced that it is leading an effort to introduce a "Modified Uptick Rule," a rule that would modernize and enhance current rules designed to prevent abusive short selling. In a letter to the Securities and Exchange Commission today, NASDAQ OMX, together with BATS, the National Stock Exchange and NYSE Euronext proposed the new restrictions on short selling as the SEC begins to consider rules to eliminate abusive short selling fr
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Strict Rules To Improve Transparency And Independence Of European Credit Rating Were Endorsed By The Economic And Monetary Affairs Committee On Monday
Date 24/03/2009
In a report drafted by Jean Paul Gauzes (EPP-ED, FR) and approved with 21 votes in favour, seven against and four abstentions, the committee adopted amendments aimed at enhance the transparency, independence and good governance of credit rating agencies (CRAs), thus improving the quality and reliability of credit ratings and consumer trust.
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Testimony By US Federal Reserve Chairman Bernanke On American International Group - Before The Committee On Financial Services, U.S. House of Representatives, Washington, D.C.
Date 24/03/2009
Chairman Frank, Ranking Member Bachus, and other members of the Committee, I appreciate having this opportunity to discuss the Federal Reserve's involvement with American International Group, Inc. (AIG). In my testimony, I will describe why supporting AIG was a difficult but necessary step to protect our economy and stabilize our financial system. I will also discuss issues related to compensation and note two matters raised by this experience that merit congressional attention.
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RTS Stock Market Weekly Trading Results: March 16 – 20, 2009
Date 24/03/2009
Over the week of March 16 – March 20, 2009, the RTS Index went up by 6.80% to reach 696.93 points (652.53 points as of March 13, 2009). Most of the positive impact on the Index dynamics was related to the growing prices for Sberbank ordinary shares (SBER) (plus 19.85 points), ordinary shares of OJSC "MMC "NORILSK NICKEL" (GMKN) (plus 6.46 points) and OJSC "Polyus Gold" ordinary shares (PLZL) (plus 4.60 points).
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Tokyo Grain Exchange: Daily Price Limits For Soybean Futures From Mar. 25, 2009
Date 24/03/2009
The daily price limits for soybean futures have reverted to the original level: 1,800 yen.
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Rescheduling Of The Tokyo Stock Exchange IPO
Date 24/03/2009
Having taken the recent difficult market conditions and its future profit plan into account, Tokyo Stock Exchange Group, Inc.(TSE Group) has decided to revise the timing of its plan for an initial public offering, previously scheduled to be carried out within this year.
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Executive Remuneration: European Forum Sets Out Best Practices For Directors' Pay
Date 24/03/2009
The European Corporate Governance Forum, which examines best practices in Member States in the field of corporate governance, has issued a public statement concerning the main principles that should govern the remuneration of executive directors. The Forum considers that Member States should ensure that these principles are incorporated in the national corporate governance codes and suggests that the Commission should issue a recommendation to this end. F
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BATS Exchange, In Conjunction With Other Exchanges, Submits Proposal Letter To SEC - BATS, NYSE AND NASDAQ Join In Letter Regarding New Short Sale Rules, Propose Modified Uptick Rule With Circuit Breaker
Date 24/03/2009
BATS Exchange, along with the New York Stock Exchange and Nasdaq Stock Market, issued a comment letter to the Securities and Exchange Commission in regards to a proposal to combat abusive short selling.
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