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ASX Group Monthly Activity Report – January 2010

Date 03/02/2010

This is a shortened version of ASX’s normal monthly Activity Report, given its timing proximity to ASX’s half-year results for the six-month period ending 31 December 2009. These will be released on 18 February 2010 and will include comprehensive commentary from the Managing Director and CEO, and the Chief Financial Officer.
Cessation Of SICOM Trade Membership - Jann Jiar Rubber Pte Ltd

Date 03/02/2010

In accordance with SICOM Rule 220, we wish to inform that Jann Jiar Rubber Pte Ltd ceased to be a Trade Member of SICOM with effect from 28 January 2010.
Calculation Of Tokyo Stock Exchange REIT Index On To Shares Of Advance Residence Investment Corp.

Date 03/02/2010

Tokyo Stock Exchange, Inc. (TSE) made an announcement today regarding calculation of Tokyo Stock Exchange REIT Index concerning the following shares to be de-listed on February 24, 2010?and shares to be listed on March 2, 2010 due to merger.
CBOE, CFE And CBSX Trading Schedule For Presidents' Day

Date 02/02/2010

The Chicago Board Options Exchange (CBOE), CBOE Futures Exchange (CFE), and CBOE Stock Exchange (CBSX) today announced the following trading schedule in observance of Presidents' Day.
NYSE Welcomes H.E. Dr. Yuval Steinitz, Finance Minister Of Israel, For NYSE Bonds Listing - NYSE Bonds To Begin Trading $1.5 Billion Israeli Sovereign Bond On Wed., Feb. 3

Date 02/02/2010

The New York Stock Exchange today welcomed His Excellency, Dr. Yuval Steinitz, Finance Minister of Israel , to launch an Israeli bond trading initiative, meet with NYSE Euronext executive management and close the market at the New York Stock Exchange.

TMX Group Consolidated Trading Statistics January 2010

Date 02/02/2010

TMX Group Inc. today announced January 2010 consolidated trading statistics for its diversified group of exchanges – Toronto Stock Exchange, TSX Venture Exchange, Montreal Exchange and Natural Gas Exchange (NGX). Tom Kloet, TMX Group CEO said: "TMX Group is the central and neutral operator of markets, including equities, derivatives and energy. Today, we are providing a consolidated view of trading activity, offering all market participants a simpler and more complete view of performance and
New York Stock Exchange To Delay Trading On The American Depositary Shares Of Cadbury PLC

Date 02/02/2010

The New York Stock Exchange announced that trading in the American Depositary Shares of Cadbury PLC -- ticker symbol CBY -- will be delayed because the tender offer for American Depositary Shares of Cadbury PLC by Kraft Foods Inc. has expired this morning at 8.00 a.m. EST. The delay will be in effect until the results of the tender offer by Kraft Foods Inc. are received.
TSX Block List Leaders - January 2010

Date 02/02/2010

Block Trade Summaries TSX Block List LeadersTM Block trades are large trades with a volume of 10,000 shares or more and a value of $100,000 or more. The TSX Block List Leaders lists shows the top ten brokers chosen by their customers to execute these significant block trades on Toronto Stock Exchange. The leaders are measured by volume and value of blocks traded.
Swedish Financial Supervisory: Regulations And General Guidelines Governing Remuneration Policies In Credit Institutions, Investment Firms And Fund Management Companies

Date 02/02/2010

Summary Firms shall have a remuneration policy that is consistent with good risk management and does not encourage short-term profits and excessive risk-taking. The new regulation provides guidance regarding how performance should be measured and how risks should be managed when applying variable compensation. The board of directors’ responsibility for the firm’s remuneration policy is clarified as well as which information regarding remuneration should be disclos
FINRA Fines Firms $750,000 For Inadequate Anti-Money Laundering Programs, Other Violations - Penson Financial Services Fined $450,000 For Inadequate Review Of Hundreds Of Thousands Of Trades A Day - Pinnacle Capital Markets Fined $300,000 For Failing To V

Date 02/02/2010

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Penson Financial Services, a Dallas-based securities clearing firm, $450,000 for failing to establish and implement an adequate anti-money laundering (AML) program to detect and trigger reporting of suspicious transactions, as required by the Bank Secrecy Act and FINRA rules and other violations.