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  • 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.

  • 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.

  • 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