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SEC Charges Lazard Capital Markets, Former Employees For Improper Gifts And Entertainment To Fidelity Employees

Date 30/10/2008

The Securities and Exchange Commission today charged privately-held, registered broker-dealer Lazard Capital Markets LLC with failing to supervise three employees who collectively spent more than $600,000 while improperly entertaining traders at Fidelity Investments in an effort to generate brokerage business. The SEC also charged the three employees and a supervisor for their roles in securities laws violations by Fidelity traders.
SEC, NASAA Announce IARD System Fee Waiver

Date 30/10/2008

The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) today announced they will waive the initial set-up and annual system fees paid by investment adviser firms to maintain the Investment Adviser Registration Depository (IARD) system. Separately, NASAA announced that for next year it will also waive those system fees paid by investment adviser representatives (IARs).
SEC Sues Miami Resident For Conducting Multi-Million Dollar Ponzi Scheme

Date 30/10/2008

The Securities and Exchange Commission today charged Miami resident Andres L. Pimstein and two private companies, The Bottom Line of South Florida, Inc. and Summit Trading LLC, with securities fraud for conducting a $30 million Ponzi scheme.
Program Trading Averaged 16.4 Percent Of NYSE Volume During Oct. 20-24

Date 30/10/2008

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for Oct. 20-24.
KCBT Wheat Daily Price Limit At 60 Cents - Daily Price Limit For Trade Date October 31, 2008 At 60 Cents

Date 30/10/2008

Price limits for KCBT hard red winter wheat futures are at 60 cents for trade date October 31, 2008 (effective with the October 30 evening session).

Toronto Stock Exchange And TSX Venture Exchange Travel To San Diego To Help Finance Local Companies

Date 30/10/2008

TMX Group Inc., owner and operator of Toronto Stock Exchange and TSX Venture Exchange, will hold an information session today in San Diego at the Lodge at Torrey Pines.
Hellenic Exchanges: Margin Parameter Change

Date 30/10/2008

As of Friday 31/10/2008 the fixed volatility parameter that RIVA uses for the margin calculation for the derivative products on the indices FTSE/ASE-20 and FTSE/ASE Mid-40 is being adjusted from 56% to 66%.
Tokyo Grain Exchange: The Daily Price Limits For Oct. 31, 2008

Date 30/10/2008

The daily price limits for Oct. 31, 2008 are the following: Corn 1,500 yen, Soybeans 2,700 yen, Non-GMO Soybeans 4,500 yen, Arabica Coffee 1,500 yen and Raw Sugar 1,500 yen.
London Stock Exchange Group Names Baikal Chief Executive

Date 30/10/2008

London Stock Exchange Group is delighted to announce the appointment of John Wilson as Chief Executive of Baikal, its pan-European non-display trading platform.
Bond Exchange Of South Africa: Statement By The Board Of Directors

Date 30/10/2008

Thursday 30 October 2008 – Following BESA’s announcement on Monday 27 October in response to the JSE’s firm intention to make an offer to shareholders for their shares in BESA, the board re-iterates that it is taking independent advice on the offer. The board will as soon as possible communicate its formal response to the offer in terms of the Rules of the Securities Regulation Panel.