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Euronext Paris: Expert Commission, Indices Committee

Date 05/09/2007

The Expert Commission, Indices Committee, meeting today, took decisions regarding the makeup of various Euronext Paris indices. The decisions taken today will take effect from Monday 24 September 2007. The Committee also decided to change the definition of free float applicable for Euronext Paris indices. In future, free float will be calculated to the exclusion of all interests with more than 5% of voting rights in the issuing entity, except where such an interest is held by an undertaking for
SEC Charges 26 Defendants In $428 Million Securities Fraud That Targeted Senior Citizens And Retirement Savings - Commission's Crackdown On Financial Fraud Against Seniors Continues

Date 05/09/2007

The Securities and Exchange Commission today filed charges stemming from a $428 million securities fraud that victimized thousands of seniors and other investors throughout the United States. The SEC's action, filed in federal district court in Chicago, Ill., charges 26 defendants and alleges that they participated in a massive fraud that involved the sale of securities in the form of "Universal Leases." The investments were structured as timeshares in several hotels in Cancun, Mexico, coupled w
Shanghai Stock Exchange: Secretaries To Directorate Should Be Included In Senior Management

Date 05/09/2007

"Secretaries to Directorate of listed companies should be members of the senior management and take corresponding responsibilities when participating in the decision-making from now on", stressed Director Zhou Guoqing of the Listed Company Department of the Shanghai Stock Exchange (SSE) yesterday in the SSE's 32nd qualification training course for Secretaries to Directorate. Zhou also said that in the "Listing Rules" modified and submitted to the China Securities Regulatory Commission for exa
BOX Operations Not Impacted By BSE Announcement

Date 05/09/2007

Today’s announcement from the Boston Stock Exchange (BSE) has no direct impact on BOX as it has a completely different management and operational structure. The Boston Stock Exchange has a minority interest in BOX and provides regulatory services that are not affected and will continue.
Boston Stock Exchange Announces Business Unit Discontinuation

Date 05/09/2007

The Boston Stock Exchange (BSE), a mutual organization that manages or regulates multiple ventures, announced that it has discontinued the operations of the Boston Equities Exchange (BeX), effective today. BeX, launched in August 2005, is an electronic stock exchange.

FINRA Fines AXA Advisors $1.2 Million For Fee-Based Account Violations, Orders Return Of $1.4 Million In Fees To Approximately 1,800 Customers - Firm Voluntarily Adds $1.2 Million To Customer Refund Fund

Date 05/09/2007

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined AXA Advisors, LLC, $1.2 million for failing to adequately supervise its fee-based brokerage business and distributing misleading sales literature for its fee-based brokerage account program, CapAdvantage, between 2001 and 2005.
SIFMA Recommends Full Market Closes On September 17 And September 24 For Trading Of US Dollar-Denominated Fixed-Income Securities In Japan In Observance Of The Respect For The Aged Day And Autumn Equinox Holidays, Respectively

Date 05/09/2007

The Securities Industry and Financial Markets Association has confirmed its previous recommendations for full market closes on Monday, September 17, and Monday, September 24, for the trading of US dollar-denominated fixed-income securities in Japan in observance of the Respect for the Aged Day and Autumn Equinox Holidays, respectively.
SEC Charges Boston Stock Exchange and Former President James Crofwell With Failing to Police Specialists

Date 05/09/2007

The Securities and Exchange Commission today instituted a settled enforcement action against the Boston Stock Exchange and its former president James B. Crofwell for failing to enforce Exchange rules to prevent specialists from trading for their own accounts ahead of marketable customer orders.
2007 Interim Reports Analysis For Shenzhen Stock Exchange Main-Board Market

Date 05/09/2007

All 488 companies listed on the Shenzhen main board market except Lan Bao Technology Information Co had released their interim reports ended Aug.31, 2007. In spite of leapfrog rises in the overall performance of main-board listed companies in the first half year, analysts remind investors of accumulating bubbles and potential risks and advocate prudent and cautious investment.
Zhu Congjiu Of The Shanghai Stock Exchange: Exchanges And Depositories To Play Simpler Role

Date 05/09/2007

Zhu Congjiu of the Shanghai Stock Exchange (SSE) said yesterday in Beijing that exchanges and depositories' administrative powers and their functions of supervision over state-owned assets should be peeled off or be imposed on special treatment. As the market infrastructures, they should pay more attention to improving their services.