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Deutsche Bank, JPMorgan Acquire Minority Stakes In BATS Trading

Date 09/01/2008

Deutsche Bank and JPMorgan yesterday announced they have made separate minority investments in BATS Trading, operators of the BATS ECN, a fast-growing market center offering trading in U.S. equity securities.
Disciplinary Committee At OMX Nordic Exchange Stockholm Fines SSAB

Date 09/01/2008

The listed company SSAB Svenskt Stål AB (“SSAB”) has contravened the rules that apply at OMX Nordic Exchange Stockholm by failing to handle price-sensitive information in the correct manner. The Exchange's Disciplinary Committee has ruled that SSAB must pay a fine of one annual fee, which corresponds to SEK 2,201,285.
FTSE Xinhua Quarterly Index Review Results

Date 09/01/2008

FTSE Xinhua Index (FXI), the independent China index company, today announced the results of its quarterly index review.
Japan's Financial Services Agency: Publication Of The First Report Of The Financial Markets Strategy Team

Date 09/01/2008

On November 30, 2007, the Financial Markets Strategy Team published its first report.
NASDAQ Holds Fourth Quarter And Full Year 2007 Investor And Media Conference Call

Date 09/01/2008

NASDAQ has scheduled its Fourth Quarter and Full Year 2007 results announcement for Thursday, January 31, 2008.

Performance Of Listed Exchanges And The FTSE/Mondo Visione Exchanges Index To End December 2007 - Year-To-Date The Index Is Up 69.7% - All-Time High Of 48486.38 Reached On 6 December 2007

Date 09/01/2008

Click here to download analysis of the performance of the FTSE/Mondo Visione Exchanges Index to end December 2007.
Disciplinary Committee At OMX Nordic Exchange Stockholm Fines Midelfart

Date 09/01/2008

The listed company Midelfart Sonesson AB (“Midelfart”) has contravened the rules that apply at OMX Nordic Exchange Stockholm by failing to handle price-sensitive information in the correct manner. The Exchange's Disciplinary Committee has ruled that Midelfart must pay a fine corresponding to two annual fees, totaling SEK 384,000.
Mary S. Head Named Assistant Director In SEC Office Of Investor Education And Advocacy

Date 09/01/2008

The Securities and Exchange Commission today announced that Mary S. Head has been named Assistant Director, Policy in the Office of Investor Education and Advocacy (OIEA). The appointment of Ms. Head, who previously served as counsel to SEC Commissioner Kathleen L. Casey, continues the agency's expansion of OIEA.
ICE Futures U.S. Posts Record Electronic Volume

Date 09/01/2008

IntercontinentalExchange (NYSE: ICE), a leading operator of global exchanges and over-the-counter (OTC) markets, announced that its ICE Futures U.S.(TM) subsidiary yesterday posted a new high in exchange-wide electronic trading volume for a single day. The exchange reported record electronic volume of 234,120 contracts on Tuesday, January 8.
FINRA: SMH Capital Fined $450,000 For Procedural Failures Regarding Soft Dollar Payments, Distributing Improper Hedge Fund Sales Materials - Two SMH Brokers Fined $200,000 For Improper Commission Sharing, One Broker Sanctioned For Registration Violation

Date 09/01/2008

The Financial Industry Regulatory Authority (FINRA) today announced that it has fined SMH Capital Inc. (f/k/a Sanders Morris Harris, Inc.) of Houston, TX, $450,000 for failing to adopt adequate supervisory procedures and systems designed to address its prime brokerage and soft dollar services to hedge funds. As a result, SMH made improper payments of $325,000 in soft dollars to a hedge fund manager.