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January 9, 2013
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News on the capital markets, securities and financial industry

  Morning Bell 
  Industry News 
  • Goldman group gets around vow to halt proprietary trading
    A Goldman Sachs group called Multi-Strategy Investing is wagering about $1 billion of the company's funds on stocks and bonds despite the bank's recent assurances that it no longer engages in such activities, according to sources who worked for or with MSI. Bloomberg (1/8) LinkedInFacebookTwitterEmail this Story
  Washington Roundup 
  • Lew reportedly is likely choice for U.S. Treasury chief
    White House Chief of Staff Jack Lew might succeed Timothy Geithner as Treasury secretary, sources say. Lew is said to have helped supervise White House strategy during budget negotiations while keeping Wall Street executives up to date. Bloomberg (1/8) LinkedInFacebookTwitterEmail this Story
  Asset/Wealth Management Report 
  • FINRA solicits comments on its bonus-disclosure proposal
    The Financial Industry Regulatory Authority has started seeking comments about its proposal that would require brokers to disclose their signing bonuses when they move from one company to another. Richard Ketchum, the chairman and chief executive officer of FINRA, would like to see the measure in place by summer. Some in the industry are opposed to the plan. The Wall Street Journal (1/8), Reuters (1/8) LinkedInFacebookTwitterEmail this Story
  SIFMA News 
  • Attend the SIFMA 40th Annual Operations Conference & Exhibit 2013 at 2012 prices!
    Just added: Featured Speaker-Charles Gasparino, Senior Correspondent Fox Business Network! SIFMA's 40th Annual Operations Conference + Exhibit in Boca Raton, FL from April 28 to May 1 will bring together senior professionals from all corners of the marketplace at the premier event for financial services operations. Take advantage of early bird rates so you can engage expert thought leaders to examine the most critical operational, risk management, and regulatory issues impacting your firm. In addition, you will gain unique insights and actionable solutions from senior industry professionals, regulators, and service providers. LinkedInFacebookTwitterEmail this Story
  • Register Today & SAVE -- SIFMA's AML Workshops and Conference -- Feb. 26-27
    SIFMA’s 13th Annual Anti-Money Laundering and Financial Crimes Workshops and Conference is the securities industry's premier events for anti-money laundering compliance and practices. Join us and hear exclusive presentations from newly-appointed FinCEN Director Jennifer Shasky Calvery, and OFAC Director Adam Szubin on their agendas for the upcoming year. Half-day workshops compliment the main conference by providing practical guidance to financial services industry AML compliance requirements. The conference convenes leading experts from the industry, regulatory agencies and law enforcement to discuss the most recent developments in AML laws, and provides expert insights for implementing robust and effective compliance programs. Register before the early bird rates expire January 31, 2013. LinkedInFacebookTwitterEmail this Story
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If you want to test your memory, try to recall what you were worrying about one year ago today."
--E. Joseph Cossman,
American entrepreneur and inventor

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