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New York AG And SEC Bring Criminal And Civil Actions Against Mutual Fund Executive
Date 16/10/2003
New York State Attorney General Eliot Spitzer and the Securities and Exchange Commission today announced the arrest, conviction, and lifetime industry bar of James P. Connelly, Jr., former Vice Chairman and Chief Mutual Fund Officer of Fred Alger & Company, Inc., a prominent mutual fund firm.
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National Stock Exchange Of Lithuania Third Quarter 2003 Bulletin
Date 16/10/2003
Please click here for the National Stock Exchange of Lithuania bulletin for the third quarter of 2003.
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NASDAQ President And CEO Robert Greifeld Speech On Market Structure, Competition And The Greater Good For Investors
Date 16/10/2003
NASDAQ President and CEO Robert Greifeld spoke yesterday at the National Press Club Morning Newsmaker on market structure, competition and the greater good for investors
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Nasdaq Market Data Statistics - September 2003
Date 16/10/2003
Please click here to view Nasdaq market data statistics for September 2003.
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NASDAQ CEO Distributes White Paper At The National Press Club:"Ensuring Competitive American Stock Markets"
Date 16/10/2003
Please click here for White Paper distributed by the NASDAQ CEO at The National Press Club:"Ensuring Competitive American Stock Markets".
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IOSCO Strengthens International Cooperation To Fight Illegal Securities And Derivatives Activities
Date 16/10/2003
The International Organization of Securities Commissions (IOSCO) highlighted today at its 2003 Annual Conference in Seoul, South Korea, the IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (IOSCO MOU), the first global information-sharing arrangement among securities regulators. The IOSCO MOU sets a new international benchmark for cooperation critical to combating violations of securities and derivatives laws. It expresses a c
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HKEx Appoints Head Of Clearing Business Unit And Chief Executive Of Hong Kong Securities Clearing Company
Date 16/10/2003
Hong Kong Exchanges and Clearing Limited (HKEx) has appointed Stewart Shing to be head of its clearing business unit, and chief executive of Hong Kong Securities Clearing Company Limited (HKSCC). Mr Shing will take up his new appointment on 15 December 2003.
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FSA Welcomes IOSCO Information Sharing Move To Fight Illegal Securities Activity
Date 16/10/2003
The FSA welcomed the introduction of the IOSCO Multilateral Memorandum of Understanding - the first global information sharing arrangement among securities regulators - and the announcement that the FSA has been accepted as a signatory to the MoU. The MoU sets a new international benchmark for co-operation and sharing of enforcement-related information critical to combating securities and derivatives violations. It expresses a commitment by members of IOSCO (the International Organization of Sec
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Deutsche Börse: Five Market Makers Guarantee Liquid Trading In Dutch Equities - All Equities In AEX 25 Index Continuously Tradable On Xetra As Of November 17 - Low Clearing And Settlement Costs - Incentive System For Participants
Date 16/10/2003
Five market makers have already agreed to make trading in Dutch equities more attractive. Deutsche Börse made the announcement about five weeks prior to the launch of its new segment for Dutch equities. The securities trading firms International Marketmakers Combination, Optiver, Van der Moolen Amsterdam, Archelon Deutschland and Timber Hill have taken on a binding obligation as market makers to quote binding bid and ask prices in the trading of AEX25 blue chips on Xetra and thus provide for hig
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CME: Comment Letter To CFTC Addressing Eurex U.S. Application
Date 16/10/2003
Text of a letter from Craig S. Donahue, Office of the CEO, to the Commodity Futures Trading Commission (CFTC). Please click here to view letter.
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