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  • Shanghai Stock Exchange Runs 10 Lectures On ABCs Of Securities Market

    Date 15/06/2007

    Judging from the development history of China's capital market, the priorities to market cultivation and development hinge on constant orientation for investors, protecting their legal rights and interests as well as reinforcing their confidence. Starting with popularization of securities knowledge and investment risks, the Investor Orientation Service, built by the Shanghai Stock Exchange (SSE) in October 2000, has carried out a series of investors' orientation programs featuring the theme o

  • SEC Distributions To WorldCom Fraud Victims Top Half-Billion Dollar Mark

    Date 14/06/2007

    The Securities and Exchange Commission announced today that distributions from its Fair Fund to investor victims of the WorldCom, Inc. accounting fraud have surpassed $500 million.

  • NASD And NYSE Request Comment On Proposed Joint Guidance Regarding The Review And Supervision Of Electronic Communications - Comment Period Expires July 13, 2007

    Date 14/06/2007

    Executive Summary Given the pace of technological innovations in electronic communications, and the breadth of possible communications subject to review, NASD and NYSE are issuing this Joint Request for Comment to solicit comments from members and other interested parties on proposed Joint Guidance regarding the review and supervision of electronic communications. The proposed Joint Guidance sets forth principles for members to consider when developing supervisory systems and proc

  • SEC Conducts Major Securities Market Oversight Training Program In Middle East

    Date 14/06/2007

    The Securities and Exchange Commission announced today that it has completed a comprehensive Capital Market Development and Oversight Training Program in the Middle East, held in Manama, Bahrain, from June 3-6. The four-day regional program led by SEC staff included intensive training on methods for conducting investigations of insider trading, financial fraud and market manipulation. The training also focused on market surveillance techniques and broker-dealer inspections and compliance.

  • Montréal Exchange: Management Change

    Date 14/06/2007

    Montréal Exchange Inc. (TSX: MXX) announced that its current Chief Operating Officer, Mr. Philippe Loumeau, will leave the Exchange on December 31, 2007. After seven years of service with MX in Montréal, Mr. Loumeau has decided to return to France. The Exchange has started the recruitment process to find a successor. In the interim, Mr. Loumeau will continue to perform all his responsibilities within the Exchange.