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New "ComplianceAlerts" To Help SEC-Registered Firms Identify Deficiencies And Improve Compliance Programs
Date 14/06/2007
The staff of the Securities and Exchange Commission today released its first ComplianceAlert letter to help chief compliance officers of SEC-registered firms learn more about common deficiencies and weaknesses that SEC examiners are finding during compliance examinations. This broader sharing of recent examination findings can benefit compliance officers and help them to proactively fine-tune their compliance and supervisory controls.
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Standard & Poor's Announces Changes In S&P/TSX Canadian Indices
Date 14/06/2007
Standard & Poor's Canadian Index Operations announces the following index changes: The shareholders of Dynatec Corporation (TSX:DY) have approved the acquisition of the company by Sherritt International Corporation (TSX:S). Dynatec Corporation will be removed from the S&P/TSX Composite and Capped Composite, the S&P/TSX Equity and Capped Equity, the S&P/TSX Completion and Equity Completion, the S&P/TSX SmallCap and Equity SmallCap, the S&P/TSX Capped Materials and Capped Diversified Me
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CBOT Responds To LAMPERS Statement
Date 14/06/2007
In response to a press release issued earlier today by the Louisiana Municipal Police Employees’ Retirement System (LAMPERS), CBOT Holdings, Inc. announced that it is not a party to the settlement agreement of the LAMPERS lawsuit. The agreement is between LAMPERS and CME Holdings only.
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Amendment To June Quarterly Rebalancing For S&P Global 1200, S&P Asia 50 And S&P Europe 350 Index
Date 14/06/2007
Preceding yesterday’s announcement for the quarterly rebalancing, Standard & Poor’s is issuing the following revisions: The index shares of Taiwan Semiconductor Manufacturing Company Ltd. will remain unchanged at 25,952,195,400, reflecting the 0.5% stock dividend, which was effective Friday June 8th. As announced, the IWF will change from 0.8306 to 1.00. The SEDOL and RIC code for Cathay Financial Holdings were incorrectly quoted in yesterday’s file. The correct SEDOL is 64256
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Statement By SEC Chairman Christopher Cox: Opening Statement At The Commission Open Meeting
Date 14/06/2007
Good morning. This is a meeting of the Securities and Exchange Commission conducted under the Government in the Sunshine Act on June 13, 2007. Today, we consider three recommendations from the Division of Market Regulation related to short selling.
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KCBT Exchange And Electronic Volume Set New Single-Day Records, 11-Year Price High
Date 14/06/2007
The Kansas City Board of Trade set a new single-day volume record for the exchange as a whole and for electronic trading on Wednesday. The KCBT also put in new contract highs across the board, with prices at an 11-year high as the KCBT March 2008 contract traded up to $6.20 a bushel.
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SEC Charges Securities Attorneys In Penny Stock Scam
Date 14/06/2007
The Securities and Exchange Commission today filed suit against the principals of a micro-cap technology company as well as two securities lawyers for their role in an illegal "pump and dump" scheme. The Commission alleges that Arizona attorney David B. Stocker and Texas attorney Phillip W. Offill, Jr. assisted Michigan-based AVL Global, Inc., in a scheme to dump millions of shares of AVL Global stock into the marketplace without any public disclosure of the company's failing operations. In the
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Program Trading Averaged 32.4 Percent Of NYSE Volume During June 4-8
Date 14/06/2007
The New York Stock Exchange today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for June 4-8.
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CBOT Top Daily Volume & Open Interest Records For Wednesday, June 13
Date 14/06/2007
Daily: Wheat - Futures and Options Electronic Volume Record New Record: 99,382 Jun 13, 2007 Old Record: 94,117 Apr 19, 2007 Daily: Wheat - Futures Electronic Volume Record New Record: 99,207 Jun 13, 2007 Old Record: 93,617 Apr 19, 2007 Daily: 30 Year Interest Rate Swaps - Futures Total Volume Record New Record: 558 Jun 13, 2007 Old Record: 529 Jun 6, 2007 Daily: 3
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Financial Journalists Successful At Taking SWX Trader Examination
Date 14/06/2007
For the second time now since 2004 (see http://www.swx.com/media_releases/2004/media 2004 1025 _ en.pdf)the SWX Swiss Exchange has offered interested financial journalists the cost-free opportunity to participate in the training course for the SWX trader examination as well as to take the actual test. Once again the offer provoked great interest - in the past several weeks, one female journalist and six male journalists
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