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SEC Announces Roundtable Panelists For Forum On Small Business Capital Formation

Date 19/09/2007

The Securities and Exchange Commission today published the agenda and identified the roundtable panelists for its annual Government-Business Forum on Small Business Capital Formation, to be held on Monday, Sept. 24, 2007, beginning at 9 a.m. ET, at its Washington, D.C., headquarters.
Quarterly Rebalancing For S&P Global 100, S&P Europe 350, S&P Asia 50, S&P Latin America 40, And S&P/ASX All Australian 50 Indices

Date 19/09/2007

As part of the quarterly rebalancing, the shares outstanding for several constituents of the S&P Global 100, S&P Europe 350, S&P Asia 50, S&P/ASX All Australian 50, and S&P Latin America 40 indices will be updated effective after the close of Friday, September 21, 2007.
SEC: Registration Begins For ‘CCOutreach’ National Seminar To Help Chief Compliance Officers Succeed In Protecting Investors

Date 19/09/2007

Securities and Exchange Commission Chairman Christopher Cox today announced the beginning of registration for the annual CCOutreach National Seminar to help mutual fund and investment adviser chief compliance officers (CCOs) further enhance their compliance programs for the protection of investors.
September Quarterly Rebalancing And Annual IWF Review For S&P/HKEx LargeCap Index

Date 19/09/2007

Standard & Poor’s will make the following changes to the S&P/HKEx LargeCap Index as part of the September quarterly rebalancing and annual Investible Weight Factors review. Please refer to the table attached for adjustments, which include changes of index constituents, company shares and IWFs.
SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers - Eight Years After Passage of the Gramm-Leach-Bliley Act, Key Provisions Will Now Be Implemented

Date 19/09/2007

Ending eight years of stalled negotiations and impasse, the Commission today voted to adopt, jointly with the Board of Governors of the Federal Reserve System (Board), new rules that will finally implement the bank broker provisions of the Gramm-Leach-Bliley Act of 1999. The Board will consider these final rules at its Sept. 24, 2007 meeting. The Commission and the Board consulted with and sought the concurrence of the Office of the Comptroller of the Currency, Federal Deposit Insurance Corpo

CME Group Listed On InformationWeek 500 For Fourth Consecutive Year

Date 19/09/2007

CME Group, the world's largest and most diverse exchange, today announced that it has been named to the InformationWeek 500. This is the fourth consecutive year the exchange has been named to this prestigious list of technology innovators. The top 2007 InformationWeek 500 companies will be revealed at a gala awards ceremony held during the InformationWeek 500 Conference in Tucson, Arizona from September 16-19.
HSBC Bank Settles SEC Charges And Agrees To Pay $10.5 Million

Date 19/09/2007

The Securities and Exchange Commission today announced settled enforcement proceedings against HSBC Bank USA, N.A., which will pay a $10 million civil penalty and approximately $500,000 in disgorgement for allowing its name and logo to be used in connection with a Florida-based offering fraud by Pension Fund of America, L.C. (Pension Fund), that was directed primarily at Central and South American investors.
Nyse Arca Options Penny Pilot Outperforms Pricing Competition Nationally - Exclusively Displays The Best Bid And Offer Four Times More Often Than Any Other Exchange

Date 19/09/2007

NYSE Euronext (NYSE Euronext: NYX) today announced that, according to the Transaction Auditing Group, Inc. (TAG), NYSE Arca Options has consistently offered the best price four times more often than any other market center for options that are included in the SEC’s penny pilot program. Across all 13 pilot securities, NYSE Arca Options was, on average, alone at the National Best Bid 6.3% of the time and alone at the National Best Offer 6.2% of the time. Additionally, NYSE Arca displayed pri
NYMEX Comments On CFTC Hearing On Oversight Of Exchanges, ECMs

Date 19/09/2007

The New York Mercantile Exchange, Inc. (NYMEX) commends the CFTC for seeking to obtain industry input at its public hearing today on unregulated exempt commercial markets or ECMs. Over the last few months, a broad and growing consensus has developed that certain products traded on ECMs and also on regulated futures exchanges are tightly linked and effectively result in one broader derivatives market. This new reality creates serious regulatory problems both for regulated exchanges as well as
SEC: Evergreen Investment Management Company And Affiliates To Pay $32.5 Million To Settle Market Timing Violations - Former Officer To Pay $150,000

Date 19/09/2007

The Securities and Exchange Commission today announced settled enforcement actions against registered investment adviser Evergreen Investment Management Company (Evergreen), three of its affiliates, and a former officer, alleging that, contrary to prospectus disclosures, they allowed certain shareholders to market time and engage in excessive exchange activity in the Evergreen mutual fund complex.