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FINRA Fines Oppenheimer & Co., Inc. $1.4 Million For Sale Of Unregistered Penny Stocks And Anti-Money Laundering Violations

Date 05/08/2013

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer and Co., Inc. $1,425,000 for the sale of unregistered penny stock shares and for failing to have an adequate anti-money laundering (AML) compliance program to detect and report suspicious penny stock transactions. Oppenheimer is also required to retain an independent consultant to conduct a comprehensive review of the adequacy of Oppenheimer's penny stock and AML policies, systems and procedures. Oppenheimer agreed to the sanctions to resolve charges first brought against the firm in a FINRA complaint in May 2013.

Palestine Exchange Investor Monthly Newsletter Issue #40, July 2013

Date 05/08/2013

Click here to download Issue #40, July 2013of  the PEX Investor Monthly Newsletter.

Statement By SEC Commissioner Paredes Upon Departure From The Commission

Date 05/08/2013

Commissioner Troy A. Paredes on Friday made the following statement:

“August 3rd will be my last day as a member of the Securities and Exchange Commission.  Serving as a commissioner for the past five years has been a terrific honor.  The chance to be involved in so many important issues has been rewarding, and it has been a privilege to have served with my fellow members of the Commission and to have worked with the talented SEC staff."

Athens Exchange Monthly Statistical Bulletin June 2013

Date 05/08/2013

Click here to download Athens Exchange's monthly statistical bulletin for June 2013.

Omgeo Named Best Exceptions And Reconciliation Management Provider In 2013 Waters Rankings - Waters’ Readers Voted Omgeo Leading Vendor In The Category For Fourth Consecutive Year

Date 05/08/2013

Omgeo, the global standard for post-trade efficiency, today announced that it has been named “Best Exceptions and Reconciliation Management Provider” in the Waters Rankings for the fourth year in a row. The eleventh annual Waters Rankings winners were selected by a survey of Waters’ 10,000 subscribers, including market participants and readers of Waters magazine, a financial markets technology publication.

EEX Takes A Stand On Capacity Markets In Position Paper

Date 05/08/2013

The European Energy Exchange (EEX) has published a position paper discussing the need for, and design of capacity markets in Germany. By publishing such a paper, EEX is making an active contribution to the intense debate which has been underway in Germany for two years.

Moscow Exchange Indices Weekly Review: July 29 - August 1, 2013

Date 05/08/2013

Weekly review: July 29 - August 1, 2013 (pdf, 677 Kb)

Hong Kong's Securities And Futures Commission: PME Group Convicted Of Making False Or Misleading Announcements

Date 05/08/2013

The Eastern Magistrates’ Court today convicted PME Group Limited (PME), a Hong Kong-listed company, after it pleaded guilty to three counts of making false or misleading announcements in 2008.

SGX Derivatives Volumes Grow In July

Date 05/08/2013

Singapore Exchange (SGX) today said its derivatives volumes increased from a year earlier.

Palestine Exchange: PEX Monthly Newsletter "Tadawul" #76

Date 05/08/2013

Click here to download the July 2013 issue of the PEX Monthly Newsletter.