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OMX Extends Exchange Technologies Offering With SMARTS Market Surveillance Solutions

Date 31/10/2007

OMX, the leading expert in the exchange industry, and Smarts Group (SMARTS), the world leader in real-time market surveillance, have formed a sales and development partnership for providing SMARTS’ market surveillance solutions to OMX’s customers.
Trading Volume On FORTS Hits 2,7 Billion Dollars

Date 31/10/2007

On October 30, 2007 on the Futures and Options on RTS market (FORTS) a new record in trading volume was registered. By the trading results of the day, the trading volume made up 67,36 billion rubles, which exceeds 2,7 billion dollars. The previous record trading volume was registered on October 18, 2007 and made up 61,56 billion rubles.
NYMEX To Change Margins For Propane Futures Contract

Date 30/10/2007

The New York Mercantile Exchange, Inc. today announced margin changes for its propane futures contract, effective at the close of business tomorrow.
FINRA Fines Oppenheimer $1 Million To Settle Charges That It Produced Flawed, Incomplete And Untimely Data In Breakpoint Self-Assessment - Submission Of Data The Firm Knew To Be Flawed Among Key Findings

Date 30/10/2007

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1 million for submitting mutual fund breakpoint data to FINRA that the firm knew to be inaccurate, as well as for related supervisory deficiencies. FINRA also ordered the firm to engage an independent consultant to evaluate its policies, systems and procedures for responding to information requests from regulators.
SIFMA Market Closing Recommendations For The US, The UK And Japan In Observance Of The US Veterans Day Holiday

Date 30/10/2007

SIFMA Recommends Early Market Close on November 9 and Full Market Close on November 12 for Trading of US Dollar-Denominated Fixed-Income Securities in the US in Observance of the Veterans Day Holiday SIFMA Recommends Full Market Close on November 12 f

CFTC Releases Rule Enforcement Review Of The Chicago Board Of Trade

Date 30/10/2007

The Commodity Futures Trading Commission (Commission) has notified the Chicago Board of Trade (CBOT or Exchange) of the results of a rule enforcement review completed by the Commission’s Division of Market Oversight (Division). The Division assessed CBOT’s compliance with the core principles that relate to market surveillance. The target period for the review was October 1, 2005 to September 30, 2006.
NYMEX To Change Margins For Natural Gas, Related Futures Contracts

Date 30/10/2007

The New York Mercantile Exchange, Inc. today announced margin changes for its natural gas; Henry Hub swap and penultimate swap; natural gas penultimate and last day financial; and NYMEX miNYTM natural gas futures contracts, effective at the close of business tomorrow.
Dubai Government Grants AED280 Million Land Plot To Dubai Financial Market

Date 30/10/2007

Dubai Financial Market (DFM) announced today that it has received a land grant from Dubai Government.
Dalian Commodity Exchange Palm Oil Futures A Hit

Date 30/10/2007

The second agricultural futures contract introduced this year opened yesterday on the Dalian Commodity Exchange (DCE) with a bang.
SEC, FINRA Launch New Initiative To Assist Chief Compliance Officers At Broker-Dealer Firms

Date 30/10/2007

The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced a new initiative to further promote strong compliance practices at broker-dealer firms for the protection of investors. Similar to the SEC's ongoing CCOutreach Program for investment advisers and investment company chief compliance officers, the CCOutreach BD program will help broker-dealer chief compliance officers (CCOs) ensure effective communication about compliance risks