News Centre

New York Attorney General Eliot Spitzer: Broker To Hedge Funds Indicted For Late Trading Of Mutual Funds

Date 14/09/2006

Attorney General Eliot Spitzer today announced the indictment of a stock broker from the Manhattan firm Trautman Wasserman & Co., Inc. for defrauding mutual funds by trading their shares after hours, a practice known as "late trading."

New Members In MEFF

Date 14/09/2006

NASD Task Force Recommends Operational, Regulatory Changes To Minimize Delays, Make Improvements In Account Transfer Process

Date 14/09/2006

An NASD task force has issued recommendations for expediting and streamlining transfers of customer accounts from one brokerage firm to another through the Automated Customer Account Transfer System (ACATS).

NASD Investor Alert Warns Workers About Early Retirement Investment Pitches

Date 14/09/2006

NASD issued an Investor Alert today warning workers about investment pitches that guarantee comfortable early retirements. These pitches—often made at free seminars—promise high annual returns but make little or no mention of the risks associated with the aggressive investment scenarios the early retirement packages involve. A recent NASD enforcement action identified one such scheme.<

NASD Fines Securities America $2.5 Million, Orders $13.8 Million In Restitution In Investment Scheme Aimed At Exxon Retirees - NASD Charges Broker David McFadden With Fraud

Date 14/09/2006

NASD announced today that it has fined Securities America, Inc. of Omaha, NE, $2.5 million for failing to adequately supervise a broker who NASD alleges lured long-term employees of Exxon Corporation into retiring prematurely with unreasonable and exaggerated promises of high returns from reinvested funds from their company retirement plans. Securities America must also pay $13.8 million in restitution to 32 former Exxon employees. Securities America also agreed to hire a consultant who will

ISE To Present At Bank Of America's 36th Annual Investment Conference

Date 14/09/2006

The International Securities Exchange (NYSE: ISE) said today that David Krell, President and Chief Executive Officer, will present at Bank of America's 36th Annual Investment Conference in San Francisco on Monday, September 18, 2006 at 9:00 a.m. PT/ 12:00 p.m. ET. An audio webcast of the presentation will be broadcast live on the Investor Relations section of ISE's website at www.iseoptions.com.

ICEX News & Views - Volume 6, Issue 19

Date 14/09/2006

This issue discusses the listing of Exista hf. on the ICEX Main List tomorrow, the new ICEX member: H.F. Securities and gives an overview of amendments to the NOREX Member Rules.

ICE Gas Oil Futures Contract Achieves Third Consecutive Day Of Record Volume

Date 14/09/2006

New Open Interest Highs at ICE Futures and in ICE WTI Crude

First ASEAN Exchange Traded Fund By CIMB To Be Listed On SGX

Date 14/09/2006

The CIMB Group (CIMB) and Singapore Exchange Limited (SGX) today announced that the FTSE/ASEAN 40 Exchange Traded Fund (ETF) will be listed on SGX on Thursday, 21 September 2006.

Deutsche Börse Conducts Changes To Their Strategy And International Indices - Changes Are Effective As Of 18 September

Date 14/09/2006

Effective 18 September, new weights will apply in the German equity indices DAX®, MDAX®, SDAX® and TecDAX® as well as in the strategy indices and the international indices of Deutsche Börse. On Thursday, Deutsche Börse announced changes to its equity indices DAXglobal® Alternative Energy, DAXglobal® BRIC, DAXglobal® Russia, DBIX Deutsche Börse India Index® and the strategy indices DivDAX® and GEX®. Since 2005, Deutsche Börse has further expanded its product range for equity indices