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SEC, FINRA Launch New Initiative To Assist Chief Compliance Officers At Broker-Dealer Firms

Date 30/10/2007

The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced a new initiative to further promote strong compliance practices at broker-dealer firms for the protection of investors. Similar to the SEC's ongoing CCOutreach Program for investment advisers and investment company chief compliance officers, the CCOutreach BD program will help broker-dealer chief compliance officers (CCOs) ensure effective communication about compliance risks
Euroclear To Make Senior Management Changes

Date 30/10/2007

Euroclear SA/NV announces today that Wim Claeys will be promoted to Executive Director and become a member of the Management Committee. In addition, Robert Urtheil will become Managing Director and Head of Corporate Strategy & Public Affairs for the Euroclear group, replacing Anso Thiré, who will become head of the new Global Capital Markets division, effective 15 November.
MGEX To Hold Membership Open House In Minneapolis

Date 30/10/2007

With the recent, dramatic upswings in wheat prices and the steadily rising value of membership at the Minneapolis Grain Exchange (MGEX or Exchange), public interest in the Exchange has grown. In response, the MGEX is hosting an open house on its historic trading floor for anyone interested in learning more about membership in the Exchange, futures and options trading or leasing office space.
FINRA Fines Oppenheimer $1 Million To Settle Charges That It Produced Flawed, Incomplete And Untimely Data In Breakpoint Self-Assessment - Submission Of Data The Firm Knew To Be Flawed Among Key Findings

Date 30/10/2007

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1 million for submitting mutual fund breakpoint data to FINRA that the firm knew to be inaccurate, as well as for related supervisory deficiencies. FINRA also ordered the firm to engage an independent consultant to evaluate its policies, systems and procedures for responding to information requests from regulators.
FESE Welcomes CESR’s New Arrangements Facilitating Full Implementation Of Transaction Reporting Under MiFID

Date 30/10/2007

FESE welcomes CESR’s decision to adopt two new arrangements facilitating full implementation of transaction reporting mandated by MiFID Article 251. Allowing the markets the flexibility to use either one of two methods for identifying derivative instruments will avoid significant costs to the exchange industry, banks and users of capital markets.

TSX In Chicago

Date 30/10/2007

On Wednesday, November 7th, 2007, the TSX Group will hold an information session in Chicago to address the benefits of listing on a TSX Group exchange and in Canada. This session will be the seventh of nine scheduled to take place across the US as part of TSX Group’s 2007 business development campaign to increase US awareness and listings. The Chicago chapter of the Association for Corporate Growth (ACG) is an official campaign supporter.
First Coverage Welcomes Soleil Securities Group As 200th Sell-Side Participant On Its Coverage Optimization Platform - Leading Research Firms Utilize Platform To Send Trade Ideas And Improve Communication With The Buy Side

Date 30/10/2007

First Coverage Inc. (www.firstcoverage.com), a web-based software company delivering industry-leading coverage optimization solutions to the global investment community, today announced that Soleil Securities Group, a leading provider of independent equities research, has signed on as the 200th sell-side participant in First Coverage’s rapidly growing network of buy- and sell-side firms.
HSBC And DIFX Launch Sukuk And Conventional Bond Indices - First Definitive Measure Of Regional Fixed Income Pricing Levels - Will Lead To Greater Trade, Wider Interest, And Increased International Participation

Date 30/10/2007

HSBC and the Dubai International Financial Exchange (DIFX) have launched a family of indices which track price movements of conventional Middle Eastern bonds and international Sukuk (Islamic bonds).
Ibovespa Exceeds 65,000 Points On October 29

Date 30/10/2007

The Ibovespa Stock Index ended the day up 1.20% at 65,044 points, the highest close since October 26, when it reached 64,275 points.
Borsa Italiana Celebrates 200 Years Of History

Date 30/10/2007

In 2008, Borsa Italiana reaches its 200th anniversary: on 16th January 1808, a vice-royal decree promulgated by Eugenio Napoleone officially inaugurated the “Borsa di Commercio” (commodities exchange) in Milan, which at that time was the capital of the Kingdom of Italy under the government of Napoleon I.