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SEC Charges Ring Of High School Buddies With Insider Trading In Health Care Stocks

Date 19/11/2012

The Securities and Exchange Commission today charged three health care company employees and four others in a New Jersey-based insider trading ring of various high school friends generating $1.7 million in illegal profits and kickbacks by trading in advance of 11 public announcements involving mergers, a drug approval application, and quarterly earnings of pharmaceutical companies and medical technology firms.
Equity Options Exercise Totals BRL 2.59 Billion On BM&FBOVESPA

Date 19/11/2012

The equity options exercise today in the BOVESPA segment totaled BRL 2.59 billion, of which BRL 1.29 billion in call options and BRL 1.30 billion in put options.
SEC Charges J.P. Morgan And Credit Suisse With Misleading Investors In RMBS Offerings

Date 19/11/2012

In coordination with the federal-state Residential Mortgage-Backed Securities Working Group, the Securities and Exchange Commission today charged J.P. Morgan Securities LLC and Credit Suisse Securities (USA) with misleading investors in offerings of residential mortgage-backed securities (RMBS). The firms agreed to settlements in which they will pay more than $400 million combined, and the SEC plans to distribute the money to harmed investors.
Contrasting Results For Hedge Fund Strategies - Latest Performance Update Of The EDHEC-Risk Alternative Indexes

Date 19/11/2012

In October, stocks experienced a setback (S&P 500: -1.85%), with implied volatility increasing slightly (VIX: 18.6%). High-grade bonds were nearly flat (Lehman Global: -0.17%, Lehman US: -0.06%), risky credit remained strong (credit-spread index: 1.00%) extending its winning streak to 5 months whereas the convertible bonds’ rally was interrupted by a (-0.56%) loss. Commodities fell significantly (-4.20%) while the US dollar bounced back marginally (0.60%).
Remarks At The 2012 SEC Government-Business Forum On Small Business Capital Formation By Commissioner Elisse B. Walter, U.S. Securities and Exchange Commission, Washington, D.C.

Date 19/11/2012

Thank you, Meredith, for that kind introduction. And I’d like to extend my thanks to the SEC staff who helped plan this event, particularly to Gerry LaPorte and the Office of Small Business Policy. And I would thank all of you who have come today to participate in the ongoing dialogue on small business capital formation. Of course, before I continue, I must remind you that my remarks are my own and not those of the other Commissioners, the Commission or the staff.

S&P Dow Jones Indices, TMX Group Launch Preferred Share Laddered And Equal Weight Sector Indices - Indices Licensed To BMO Asset Management For The Development Of ETFs

Date 19/11/2012

S&P Dow Jones Indices and TMX Group Inc. announced today the launch of three new Canadian indices: the S&P/TSX Preferred Share Laddered index, the S&P/TSX Equal Weight Global Gold index and the S&P/TSX Equal Weight Industrials index. Each of the indices has been licensed by S&P Dow Jones Indices to BMO Asset Management for potential exchange traded products to be listed on Toronto Stock Exchange.
Options Names Ken Barnes As New Senior VP Of Corporate Development - Former NYSE Euronext Executive To lead Corporate And Product Strategy

Date 19/11/2012

Options, provider of the Options PIPE® Private Financial Cloud services platform for the exchange, banking, trading and investment communities, today announced that industry veteran Ken Barnes has been appointed as the firm’s Senior Vice President of Corporate Development.
Semi-Annual Changes To The NASDAQ OMX CRD Global Sustainability Index

Date 19/11/2012

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ), parent of the world's first electronic stock market and a leading index provider, and CRD Analytics announced today the results of the semi-annual re-ranking of the NASDAQ OMX CRD Global Sustainability Index (Nasdaq:QCRD), which will become effective prior to market open on Monday, November 19, 2012.
Direct Edge Regulatory Notice #12-06: Revised And New FINRA CRD Fees Effective January 2, 2013

Date 19/11/2012

Effective January 2, 2013, the following charges for Central Registration Depository (CRD^®) services will apply to Members of EDGA^® Exchange, Inc. and EDGX^® Exchange, Inc. that are NOT also members of FINRA (“Non-FINRA Members”). Non-FINRA Members are required to pay applicable fees directly to FINRA through the CRD system.
BM&FBOVESPA: Black Consciousness Day

Date 19/11/2012

Tuesday (November 20) is semi-national public holiday in Brazil and there will be no trading on BM&FBOVESPA.