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Date 04/11/2004
Program Trading Averaged 51.4 Percent Of NYSE Volume During Oct. 25-29
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 Oct. 25-29.
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Date 04/11/2004
OneChicago To Launch Two New Single Stock Futures
The CME Clearing Codes web page for OneChicago products has been updated to show the additional 2 stock futures to launch on November 5, 2004. The two new Single Stock Futures are Consolidated Edison, Inc. and DreamWorks Animation SKG, Inc.
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Date 04/11/2004
New York Attorney General Eliot Spitzer: Fremont Investment Advisors Settles Market Timing Case - $4.1 Million Settlement Includes Enhanced Ethics And Compliance Controls
New York Attorney General Eliot Spitzer today announced a settlement with Fremont Investment Advisors, Inc. (FIA) that resolves allegations that the company permitted market timing and late trading of its mutual funds. The agreement was reached in cooperation with the Securities and Exchange Commission.
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Date 04/11/2004
New Appointments At Bursa Malaysia
Bursa Malaysia Berhad would like to announce the following new appointments which came into effect on 1 November 2004: Mohd Ridzal Sheriff, Head, Group Business Development
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Date 04/11/2004
Lackritz: Securities Industry Association Compiled Impressive Record In 2004; Association Well-Positioned To Meet Challenges, Maximize Opportunities In The Year Ahead - Industry’s Commitment To Service, Values, And Clarity Key To Achieving Goals
Securities Industry Association President Marc E. Lackritz today said that in an uncertain world, the industry’s continued success depends on its commitment to service, values, and clarity. In his address to the opening session of the association’s 33rd annual meeting here, Lackritz said the industry has done a good job handling often adverse conditions and has made progress toward building a better future for issuers, investors, and securities firms.
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Date 04/11/2004
Investors’ Perceptions Of Securities Industry Improve - Tenth Annual Securities Industry Association Investor Survey Shows Guarded Optimism That Reforms Are Working - Investors Cite Overall Satisfaction With Brokers, Concerns About Industry Behavior, Desi
More investors today feel positively toward the securities industry than in 2002 and 2003, according to the annual Securities Industry Association Investor Survey, but ratings are lower than in the period 1997-2001. Sixty-four percent of respondents expressed favorable opinions of the industry, a rebound from 55 percent in 2002 and 2003.
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Date 04/11/2004
Fremont Investment Advisors To Pay Over $4 Million To Settle SEC Market Timing And Late Trading Charges
The Securities and Exchange Commission today charged San Francisco-based mutual fund adviser Fremont Investment Advisors with entering into improper and undisclosed agreements that allowed favored large investors to engage in rapid short-term securities trading known as market timing. Also charged by the Commission for their role in Fremont's improper market timing arrangements were former President and CEO Nancy Tengler and former Vice President of Institutional Sales Larry Adams. In addition t
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Date 04/11/2004
Fomento Economico Mexicano S.A. de C.V. - UBD IWF Change In The S&P Latin American 40 Indices
Standard & Poor’s will make the following changes in the S&P Latin America 40 Index effective after the close of trading on Monday, November 8, 2004. Fomento Economico Mexicano S.A. de C.V. - UBD (Mexico, SEDOL 2242059) Investable Weight Factor will change to 1% from 0.64%. This change comes after further clarification from the company regarding the holdings breakdown for the various classes of shares.
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Date 04/11/2004
Daniel J. Ludeman Elected Securities Industry Association Chairman; James P. Gorman Named Chairman-Elect; Douglas E. Hill, Stephen M. Lessing, And Ellyn A. Mccolgan Elected To Be Vice Chairs; James D. Price Continues As Treasurer
The board of directors of the Securities Industry Association today elected Daniel J. Ludeman as the trade association's chairman for 2005. Ludeman is president and chief executive officer of Wachovia Securities, LLC. Ludeman succeeds Richard E. Thornburgh, vice chairman of the Executive Board of Credit Suisse First Boston and a member of the Executive Board at Credit Suisse Group. Thornburgh will continue to serve on SIA’s board in 2005 as immediate past chairman. James P. Go
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Date 04/11/2004
Committee Of European Securities Regulators Publishes The Results Of Investigations Of Mis-Practises In The European Investment Fund Industry
CESR publishes today the results of a report (Ref. CESR/04-407) which sets out the findings of CESR members following their investigations into the possibility of abusive mis-practises such as, late trading or market timing practices in the European investment fund industry.
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