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SEC Awards Contract For Study To Compare Roles Of Investment Advisers, Broker-Dealers - Study To Research Current Industry Practices And Identify Investor Perspectives On Their Relationships With Financial Service Providers

Date 26/09/2006

The U.S. Securities and Exchange Commission has awarded a contract to conduct factual research and analysis for a major study comparing how the different regulatory systems that apply to broker-dealers and investment advisers affect investors.
NASD Revises Sanctions Guidelines To Clarify That Firm Size, Resources May Be Considered When Imposing Sanctions For Misconduct

Date 26/09/2006

NASD today issued modifications to its Sanctions Guidelines to clarify that adjudicators should consider a registered firm's size and available resources when imposing monetary sanctions for misconduct - and may, when appropriate, impose a fine that is below the minimum levels recommended in the guidelines.
NYSE Welcomes Mindray Medical International To Its Growing List Of Chinese Companies Mindray’s IPO Raises $270 Million, 18th Company From Mainland China On NYSE

Date 26/09/2006

The New York Stock Exchange today welcomed Mindray Medical International Limited to the NYSE, where the company’s IPO raised $270 million. Mindray Medical, a leading medical device designer and manufacturer in China , began trading on the NYSE today under the ticker symbol “MR”.
SEC: Fee Rate Advisory #2 For Fiscal Year 2007

Date 26/09/2006

When fiscal year 2007 starts on Oct. 1, 2006, the Securities and Exchange Commission may be operating under a continuing resolution. In that event, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates.
Montréal Exchange Signs MOU’s With Four Chinese Exchanges - Exchanges Will Collaborate In Fields Of Derivatives Markets Development,It Solutions, Product Design And Cross Market Cooperation.

Date 26/09/2006

The Montréal Exchange (MX) announced today it has signed a series of international co-operation agreements with four Chinese exchanges.

New Appointments At The GL TRADE Group

Date 26/09/2006

To support the introduction of its new operational structure, announced on 21 September 2006, GL TRADE, global provider of Front to Back Office solutions for international financial institutions, has announced the following appointments:
Dow Jones Hedge Fund Indexes 2006 Industry Outlook Summary: Institutional Investors To Focus On Greater Due Dilligence, Hedge Funds Prepare For Inflation In 2007

Date 26/09/2006

As more money is expected to flow into hedge funds, institutional investors will focus on implementing stronger due diligence capabilities while hedge funds should beware of an inflationary environment in 2007, said leading financial experts today at a hedge fund industry panel hosted by Dow Jones Indexes.
CBOT Top Daily Volume & Open Interest Records For Monday, September 25, 2006

Date 26/09/2006

A list of some of the Chicago Board of Trade's top daily volume and open interest records from the previous business day.
The Singapore Commodity Exchange And The New York Board Of Trade Sign MOU

Date 26/09/2006

The Singapore Commodity Exchange (SICOM) and the New York Board of Trade® (NYBOT®) announced today the signing of a historic Memorandum of Understanding (MOU). Under the terms of the MOU, the two exchanges agree to collaborate on projects that will be mutually beneficial, such as information sharing, market building, joint educational seminars and symposiums, and other product and service offerings.
NASD Charges NevWest Securities Corporation And Principals With Violating Anti-Money Laundering Rules - Firm Failed To File Suspicious Activity Reports Despite Suspicious Sales Of Hundreds Of Billions Of Shares Of Sub-Penny Stock By Customer

Date 26/09/2006

NASD announced today that it has charged NevWest Securities Corporation of Las Vegas and two of its top officers - President Sergey Rumyantsev and Vice President Antony M. Santos - with violating NASD's Anti-Money Laundering Rule.