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SEC Charges 11 More Individuals In Fraudulent "Squawk Box" Scheme

Date 21/03/2006

The Securities and Exchange Commission today charged a former Merrill Lynch broker and ten former day traders and managers from A.B. Watley, Inc. (Watley), a broker-dealer, with participating in a fraudulent scheme that used squawk boxes to obtain the confidential institutional customer order flow of major brokerages, such as Citigroup, Lehman Brothers, and Merrill Lynch. "Squawk boxes" are devices that broadcast, within a securities firm, institutional orders to buy and sell large blocks of sec
NYSE Regulation Announces 5 Year Membership Bar, 9 Month Plenary Suspension And $100,000 Fine Against Former Senior Floor Broker For Improper Floor Orders

Date 21/03/2006

NYSE Regulation Announces 5 Year Membership Bar, 9 Month Plenary Suspension and $100,000 Fine Against Former Senior Floor Broker for Improper Floor OrdersNEW YORK, March 21, 2006 – NYSE Regulation, Inc., (“NYSE”) announced today that, as the result of a contested hearing, an NYSE Hearing Panel found former NYSE Member Howard Rosen of Monmouth Beach, New Jersey, guilty of misconduct. Rosen received a penalty of a censure, a fine of $100,000, a five year membership ba
NYMEX Holdings, Inc. To Distribute Special Dividend To Shareholders

Date 21/03/2006

NYMEX Holdings, Inc. announced that it will distribute a special dividend tomorrow in the amount of $196,078.43 per share of NYMEX Holdings, Inc. common stock, on a pre-split basis, to shareholders of record as of March 13, 2006.
NextTrack Celebrates Five Years In Business — A Leading Market Segment In Europe, Regularly Expanding Its Line-Up

Date 21/03/2006

NextTrack, the market segment set up by Euronext for trackers and structured funds, is celebrating its fifth anniversary. First launched on Euronext markets in 2001, trackers have shown spectacular growth to make NextTrack a European leader in the field.
New York Stock Exchange Issues Monthly Short Interest Report

Date 21/03/2006

The New York Stock Exchange today reported short interest as of the close of business on the settlement date of March 15, 2006 reflecting transactions through March 10, 2006.

New Exchange Traded Funds (ETFs) On The SWX Swiss Exchange

Date 21/03/2006

In the Exchange Traded Funds segment of the SWX Swiss Exchange, fourteen new products have been listed, thereby bringing the total number of ETFs traded in this segment to 49. The newly added ETFs are iShares products issued by iShares plc (Barclays Global Investors).
NASD Fines Boston Capital Securities $1.2 Million For Corporate Financing Disclosure And Compensation Violations - Firm Continued To Sell Limited Partnerships To Public Despite NASD Notice Of Deficiency

Date 21/03/2006

NASD announced today that it has fined Boston Capital Securities, Inc. (BCSI) $1.2 million for violations relating to the firm's public offerings of tax-advantaged limited partnership interests. NASD also charged BCSI for supervisory deficiencies relating to the firm's underwriting of public securities offerings.
London Stock Exchange: Notice Of Court Meeting And Extraordinary General Meeting On 19 April 2006 Relating To Proposed Return Of Capital

Date 21/03/2006

Notice of Court Meeting and Extraordinary General Meeting on 19 April 2006 relating to proposed return of capital 21 March 2006 Further to the announcement of 7 March 2006 which set out the proposed return to shareholders of approximately £510 million, the Board of London Stock Exchange plc (“Exchange”) has today posted a Circular to shareholders containing details of the return and giving notice of a Court meeting and Extraordinary General Meeting
Ljubljana Stock Exchange Revises Its Indices And Introduces New Slovenian Blue-Chip Index SBI TOP

Date 21/03/2006

The Ljubljana Stock Exchange has carried out a revision of its indices and will also, starting on 1 April 2006, launch the new Slovenian blue-chip index SBI TOP, measuring the performance of the most liquid Slovene companies. The new index is aimed at providing an underlying for derivatives and structured financial instruments on the Slovene market.
Launch Of Exchange Open Interest Data And Same Day Plastics Data Via The LME website

Date 21/03/2006

The London Metal Exchange (LME) has today begun to offer same-day pricing information for its two plastics contracts, free of charge, directly via the LME website. Visitors to http://www.lme.com/ can now register to gain access to the new area which offers same-day plastics official prices, closing prices and same-day opening warehouse stocks data.