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Osaka Securities Exchange: Authorization Obtained For Providing Automated Trading Services From Hong Kong Securities and Futures Commission - Relating To Remote Transaction Participant System

Date 27/12/2012

Osaka Securities Exchange Co., Ltd. (“OSE”) is pleased to announce that it has obtained an authorization for providing automated trading services through its securities trading platform and derivatives trading platform (J-GATE) from the Hong Kong Securities and Futures Commission (“SFC”) in accordance with the Hong Kong Securities and Futures Ordinance, with effect from December 19, 2012.
Novus Aviation Capital Announces Opening In DIFC

Date 27/12/2012

Novus Aviation Capital has announced the official opening of its new office in the Dubai International Financial Centre (DIFC), the financial and business hub connecting the region’s emerging markets with the developed markets of Europe, Asia and the Americas, and revealed its new corporate image. The new branding includes a revamped website and a secured platform offering Novus’ various stakeholders real-time data access.
NYSE Group Inc. Issues Short Interest Report

Date 26/12/2012

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of December 14, 2012.
NASDAQ Announces Mid-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date December 14, 2012

Date 26/12/2012

At the end of the settlement date December 14, 2012, short interest in 2,156 NASDAQ Global Market^SMsecurities totaled 7,226,471,989 shares compared with 7,417,693,054 shares in 2,157 Global Market issues reported for the prior settlement date of November 30, 2012. The mid-December short interest represents 4.32 days average daily NASDAQ Global Market share volume for the reporting period, compared with 4.53 days for the prior reporting period.
NYSE MKT Issues Short Interest Report

Date 26/12/2012

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of December 14, 2012.

SEC Charges Research Analyst With Trading And Tipping Ahead Of IBM-SPSS Merger

Date 26/12/2012

The Securities and Exchange Commission today announced additional charges in an insider trading case against two brokers who traded on nonpublic information ahead of IBM Corporation’s acquisition of SPSS Inc.
FINRA Orders Pruco Securities To Pay $10.7 Million In Restitution For Improper Pricing Of Mutual Fund Orders; Firm Fined $550,000

Date 26/12/2012

The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Pruco Securities, LLC of Newark, New Jersey, to pay more than $10.7 million in restitution, plus interest, to customers who placed mutual fund orders with Pruco via facsimile or mail (paper orders) from late 2003 to June 2011 and received an inferior price for their shares. FINRA also fined Pruco $550,000 for its pricing errors and for failing to have an adequate supervisory system and written procedures in this area.
SEC Issues Investor Bulletin To Help Investors Assess Municipal Bond Credit Risk

Date 26/12/2012

The Securities and Exchange Commission today issued an Investor Bulletin to help purchasers of municipal bonds better assess the bonds’ credit risks.
Statement Of CFTC Commissioner Bart Chilton On MF Global Claims

Date 26/12/2012

I’m pleased with today's announcement that commodities customers are getting back a little more of what they lost in the MF Global debacle. I appreciate the Trustees’ work to that end. The fact remains, however, that futures customers have not been made whole (and securities customers will have a surplus). This just further underscores the need for a futures insurance fund.
Direct Edge Trading Notice #12-62: Fee Schedule Changes for EDGX Effective January 1, 2013

Date 26/12/2012

The following changes will be effective for EDGX Exchange, Inc. (EDGX^®) on January 1, 2013:

EDGX Tier Changes

EDGX will discontinue one way to achieve the Mega Tier rebate of $0.0032 per share, where a Member posts 0.75% of the Total Consolidated Volume (TCV) in average daily volume (ADV), as outlined in footnote 1 of the current fee schedule.