FTSE Mondo Visione Exchanges Index:
News Centre
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American Stock Exchange Announces Disciplinary Actions Against 17 Current And Former Specialist Firms
Date 26/09/2006
The American Stock Exchange ("Amex") today announced settled disciplinary actions against AGS Specialists, LLC; AIM Securities, LLC; Bear Hunter Structured Products, LLC; Bear Wagner Specialists, LLC; Charlton Specialist Partners, LLC; Cohen, Duffy & McGowan, LLC; Goldman Sachs Execution and Clearing, LLP (F/K/A Spear, Leeds and Kellogg, LLP); Group One Trading, LP; HBH Specialists, LLC; Jane Street Specialists, LLC (F/K/A Bowery Specialists Group, LLC); Kellogg Capital Group LLC (F/K/A Performa
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BISYS Fund Services To Pay $21 Million To Settle Fraud Charges In Connection With Improper Marketing Arrangements With 27 Mutual Fund Advisers
Date 26/09/2006
The Securities and Exchange Commission today announced the institution of a settled enforcement action against BISYS Fund Services, Inc. (BISYS), a mutual fund administrator, finding that BISYS aided and abetted over two dozen mutual fund advisers in defrauding fund investors. BISYS entered into undisclosed side agreements with the advisers, which enabled the advisers improperly to use investors' mutual fund assets to pay for marketing expenses rather than paying for those expenses out of their
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The NASDAQ Stock Market Announces Open Short Interest Positions In NASDAQ Stocks For September 2006
Date 26/09/2006
As of mid-September, short interest in 2,730 NASDAQ Global MarketSM securities totaled 7,209,431,128 shares compared with 7,112,973,390 shares in 2,718 Global Market issues for the month of August.
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Standard & Poor's Announces Changes In S&P/TSX Canadian Indices
Date 26/09/2006
Standard & Poor's Canadian Index Operations announces the following index changes:<
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New York Mercantile Exchange To Change Margins For Natural Gas, Related Futures Contracts
Date 26/09/2006
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, and NYMEX miNYTM natural gas futures contracts at the close of business on Thursday.
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KCBT Wheat Futures Volume Achieves New Annual Record With Three Months Remaining In Year
Date 26/09/2006
For the eleventh time in 13 years, the Kansas City Board of Trade has set a new annual trading volume record in the hard red winter wheat futures contract. At the conclusion of Monday's trade 3,690,271 contracts or 18.45 billion bushels had traded thus far in 2006. The previous record was set in 2005, at 3,682,919 contracts or 18.41 billion bushels. More than three months remain in the year to add to the record. The KCBT hard red winter wheat futures contract is the world benchmark pricing me
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SEC Awards Contract For Study To Compare Roles Of Investment Advisers, Broker-Dealers - Study To Research Current Industry Practices And Identify Investor Perspectives On Their Relationships With Financial Service Providers
Date 26/09/2006
The U.S. Securities and Exchange Commission has awarded a contract to conduct factual research and analysis for a major study comparing how the different regulatory systems that apply to broker-dealers and investment advisers affect investors.
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NASD Revises Sanctions Guidelines To Clarify That Firm Size, Resources May Be Considered When Imposing Sanctions For Misconduct
Date 26/09/2006
NASD today issued modifications to its Sanctions Guidelines to clarify that adjudicators should consider a registered firm's size and available resources when imposing monetary sanctions for misconduct - and may, when appropriate, impose a fine that is below the minimum levels recommended in the guidelines.
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NYSE Welcomes Mindray Medical International To Its Growing List Of Chinese Companies Mindray’s IPO Raises $270 Million, 18th Company From Mainland China On NYSE
Date 26/09/2006
The New York Stock Exchange today welcomed Mindray Medical International Limited to the NYSE, where the company’s IPO raised $270 million. Mindray Medical, a leading medical device designer and manufacturer in China , began trading on the NYSE today under the ticker symbol “MR”.
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SEC: Fee Rate Advisory #2 For Fiscal Year 2007
Date 26/09/2006
When fiscal year 2007 starts on Oct. 1, 2006, the Securities and Exchange Commission may be operating under a continuing resolution. In that event, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates.
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