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UK's Financial Services Authority Newsletter - UKLA Publications List No.14 - Transparency Directive

Date 21/12/2006

Click here to download the special Transparency Directive (TD) edition of LIST!
Securities Market Association Established To Promote More Efficient Co-Operation On The Securities Market

Date 21/12/2006

The Confederation of Finnish Industries EK, Helsinki Stock Exchange Ltd and the Central Chamber of Commerce have today established a Securities Market Association. Mr. Matti Vuoria, President and CEO of the Varma Mutual Pension Insurance Company, was elected chairman of the association's Board of Directors, with Mr. Jukka Ruuska, Chairman of the Board of Directors of Helsinki Stock Exchange, and Mr. Timo Peltola elected as members. Parties operating on the securities market may join the associat
Share Quantities In BALTIX For Q1 2007

Date 21/12/2006

According to BALTIX index calculation methodology the indexed share quantities are determined on a quarterly basis on March 15, June 15, September 15, and December 15 and applied respectively on April 1, July 1, October 1, and January 1 each year.
NYMEX To Introduce Six Soft Commodity Futures Contracts

Date 20/12/2006

New York Mercantile Exchange, Inc. today announced that it will introduce six new soft commodity futures contracts on the NYMEX ClearPort® clearing and trading platform, beginning today at 6:00 PM for trade date December 21 .
Standard & Poor's Announces Changes In The S&P/TSX Venture Composite Index

Date 20/12/2006

Standard & Poor's will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Wednesday, December 20, 2006: Mines Dynacor Inc. (TSXVN:DYN) will be removed from the index. The company will graduate to the TSX and will trade under the same ticker symbol.

FBR To Pay Regulators $7.7 Million To Resolve Charges Related To Improper Short Selling Of Compudyne PIPE Shares - Former FBR Chairman Emanuel Friedman Suspended As Supervisor, Fined $1.2 Million, Former Chief Compliance Officer Censured, Fined $110,000

Date 20/12/2006

NASD announced today that Friedman, Billings, Ramsey & Co., Inc. (FBR), an investment banking and brokerage firm based in Arlington, VA, has agreed to pay more than $7.7 million to NASD and the Securities and Exchange Commission (SEC) to resolve charges arising from FBR's improper trading in shares of Compudyne Corporation, in a PIPE deal it structured and managed for the Maryland-based security firm. The action announced today is the fourth enforcement action NASD has taken arising from the Com
Securities Industry And Financial Markets Association (SIFMA) Elects Board Of Directors

Date 20/12/2006

The following executives today were elected as directors of the board of the Securities Industry and Financial Markets Association (SIFMA). The new directors of the board were previously nominated at the SIFMA Launch in November.
SEC Files Settled Enforcement Action Against Broker-Dealer Friedman, Billings, Ramsey & Co., Inc. - FBR's Former CEO, Compliance Director And Head Trader Also Settle Charges

Date 20/12/2006

The Securities and Exchange Commission announced today that it has filed settled charges against a Virginia based broker-dealer, Friedman, Billings, Ramsey & Co., Inc. (FBR) for its unlawful insider trading, failure to establish, maintain and enforce policies and procedures, and unregistered sales of securities while serving as the placement agent for a Private Investment in Public Equity (PIPE) offering by CompuDyne Corporation.
NYMEX To Change Margins For Gold And Silver Futures Contracts

Date 20/12/2006

The New York Mercantile Exchange, Inc. today announced margin changes for its gold, COMEX miNYTM gold, silver, and COMEX miNY silver futures contracts, beginning at the close of business tomorrow.
CBOE Stock Exchange (CBSX) Announces Appointment Of Designated Primary Market Makers (DPMS) In Preparation For February 5th Launch

Date 20/12/2006

The CBOE Stock Exchange, LLC (CBSX) announced today that it has appointed Timber Hill LLC, Susquehanna Investment Group, VDM Structured Products, LLC, LaBranche Structured Products, LLC, Equitec Specialists, LLC and Wolverine Trading, LLC, to serve as Designated Primary Market Makers (DPMs) on the new stock exchange that is scheduled to launch on February 5, 2007.