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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.
Tokyo Stock Exchange: Calculation Of TOPIX In relation To Shares Of NIPPON RESTAURANT SYSTEM,INC. Etc.

Date 05/09/2007

1. Exclusion The following shares to be de-listed due to stock-swap will be excluded from TOPIX and its sub-indices after the close of trading on September 28, 2007. For index calculation purposes, the market capitalization of the following issues will remain unchanged from the close of September 21, 2007 (the last trading date) to September 28, 2007 in the TOPIX and its sub-indices.
Risk Management Committee Established Under Shenzhen Stock Exchange

Date 05/09/2007

The Shenzhen Stock Exchange lately held the 25th meeting for the third Board of Directors, discussed and passed the proposal to set up a risk management committee and related business regulations.
SGX Statement On Straits Times Index (Update At 1845H)

Date 05/09/2007

SGX investigated and confirmed that the Straits Times Index (STI) did not reflect accurately the value of its components this morning. The index was 3,376.06 at the noon trading break, when it should have been 3,437.36, which was a difference of 1.27%. This was rectified from the start of the afternoon trading session.
Shenzhen Stock Exchange: Sound Infrastructure And Developed Capital Market To Serve National Economy

Date 05/09/2007

Zhang Yujun, general manager of the Shenzhen Stock Exchange, while addressing the 11th Annual Conference of the ACG, pointed out that infrastructure, being of vital importance to and one of major issues about the development of the capital market, should be strengthened to ensure safe operation of the market and given priority amid all tasks facing the Shenzhen bourse.