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Nomura sees 49% profit fall

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Nomura Holdings’ third-quarter profit fell 49% as brokerage commissions and investment-banking fees slumped and the firm posted another loss abroad.

More dark pool investigations expected on Wall St

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Additional actions are likely against private trading venues run by some of Wall Street’s biggest banks, the nation’s top securities regulator and New York state’s attorney general said today as they announced record settlements with two global banks over their so-called dark pools.




C Suisse brokers score partial victory against the bank

Dozens of former Credit Suisse advisers who have been fighting for their deferred compensation after leaving the bank last year scored a partial victory on Friday when the brokerage industry’s main regulator said member firms cannot make workers waive their rights to settle disputes in the regulator’s own arbitration forum.