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SEC Charges Thomas W. Jones And Lewis E. Daidone With Fraud Relating To Creation Of Affiliated Transfer Agent To Serve Citigroup Mutual Funds - Action follows Commission recovery of $208 million for investors in May, 2005

Date 08/08/2005

The Securities and Exchange Commission today filed an enforcement action in the United States District Court for the Southern District of New York charging former Citigroup executives Thomas W. Jones and Lewis Daidone with fraud relating to Citigroup's creation of an affiliated transfer agent to serve its Smith Barney family of mutual funds at steeply discounted rates. Rather than passing the substantial fee discount on to the mutual funds, Citigroup took most of the benefit of the discount for
SEC Advisory Committee On Smaller Companies Publishes Agenda, Identifies Witness Panels, For Chicago Meeting

Date 08/08/2005

The Securities and Exchange Commission's Advisory Committee on Smaller Public Companies today the agenda and witness list for its two-day meeting at the John Marshall School of Law in Chicago on August 9 and 10, 2005.
Sandra Harris, Associate Regional Director And Co-Head Of Enforcement For The SEC's Pacific Regional Office, To Leave The Commission

Date 08/08/2005

The Securities and Exchange Commission announced today that Sandra J. Harris, Associate Regional Director and co-head of enforcement for the Commission's Pacific Regional Office in Los Angeles, will leave the Commission at the end of September to pursue opportunities in the private sector. Harris has served as head or co-head of the enforcement program in the Pacific Regional Office, which investigates and prosecutes federal securities law violations in nine Western states, since 1994. Harris
New York Mercantile Exchange To Launch Natural Gas "Look Alike" Options

Date 08/08/2005

The New York Mercantile Exchange, Inc., announced today that it will introduce a natural gas look-alike options contract during regular trading hours beginning on August 15.
NASDAQ Announces Intention To Withdraw From ITS Plan

Date 08/08/2005

The Nasdaq Stock Market, Inc. (NASDAQ: NDAQ) today announced its intention to withdraw from the Intermarket Trading System (ITS) Plan in 2006 upon implementation of Regulation NMS. NASDAQ’s withdrawal from the ITS plan has been approved by its Board of Directors and will be filed with the Securities and Exchange Commission for approval.

NASD Issues Guidance Regarding Equity Indexed Annuity Sales - Concerns About Marketing, Supervision And Investor Protection Cited

Date 08/08/2005

Expressing concerns about marketing, supervision, disclosure and investor protection issues, NASD today issued formal guidance to registered firms selling equity indexed annuities (EIAs).
London Stock Exchange July Trades Up 38%

Date 08/08/2005

Trading on the London Stock Exchange continued its trend of strong growth with a total of 7.2 million trades across the London Stock Exchange during July 2005, an increase of 38 per cent on July last year. This brought the average daily number of trades for the calendar year so far to 314,075, an increase of 22 per cent on the first seven months of 2004. The average daily value traded across the Exchange for the year to the end of July was £20.0 million, up six per cent on the average daily valu
KRX Holds A Presentation In Beijing For Chinese Companies’ Listing On Korean Stock Markets

Date 08/08/2005

The Korea Exchange(KRX) held a presentation on the KRX listing, which was attended by 150 guests from Chinese companies and the local media at the Diao Yu Tai State Guest House in Beijing on August 2, 2005.
JSE Equities Market Weekly Statistics For The Week Ended 05.08.2005

Date 08/08/2005

Attached is the weekly report of certain trading statistics. It must be noted that the statistics relevant to foreign transactions only represent transactions executed through the JSE Equities Market.
EEX: Successful Start Of Continuous Trading With CO2 Allowances

Date 08/08/2005

EEX reported on August 5 that the start of continuous trading with CO2 Allowances at the European Energy Exchange in Leipzig was successful. In the first hour of trading, 22.000 Allowances changed hands, at the end of trading it was 38.450. Additionally, 4.000 Allowances were traded at the intraday auction as well as another 1.000 from the also newly implemented OTC clearing.