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Statement From The Amex Board Of Governors

Date 17/11/2004

The Board of Governors of the American Stock Exchange announced today that it appointed Claudia Crowley, the Amex's deputy chief regulatory officer, as the acting chief regulatory officer of the Exchange. The Board took this action in response to the fact that Glen Barrentine, who has been chief regulatory officer of the Exchange, received a Wells Notice from the Staff of the Securities and Exchange Commission (SEC) in connection with the SEC's investigation into Amex's regulatory program relati
Standard & Poor’s Announces Changes In The S&P/TSX Venture Composite Index

Date 17/11/2004

Standard & Poor’s will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Wednesday, November 17, 2004: Candente Resource Corp. (TSXVN:DNT) will be removed from the index. The company will graduate to trade on the TSX under the ticker symbol “DNT” at the open on Thursday, November 18, 2004.
SEC: Harold Baxter And Gary Pilgrim Agree To Pay A Total Of $160 Million To Settle Fraud Charges Concerning Undisclosed Market Timing - Baxter And Pilgrim To Pay $80 Million Each And To Be Permanently Barred From Associating With A Mutual Fund Or Investme

Date 17/11/2004

The Securities and Exchange Commission today announced the settlement of charges concerning undisclosed market timing against Harold J. Baxter and Gary L. Pilgrim in the Commission’s pending action in federal district court in Philadelphia.
SEC Postpones Final Phase-In Period For Acceleration Of Periodic Report Filing Dates

Date 17/11/2004

The U.S. Securities and Exchange Commission today issued a release adopting amendments to postpone, for one year, the final phase-in period for acceleration of periodic report deadlines that apply to larger companies known as "accelerated filers." The primary purpose of the postponement is to allow additional time and opportunity for accelerated filers and their auditors to focus their efforts on complying with new requirements regarding internal control over financial reporting that were mandat
R.J. O'Brien Hires Assistant Vice President Of Institutional Sales - Jennifer Martin Responsible For Marketing Of Clearing And Execution Services

Date 17/11/2004

R.J. O'Brien and Associates, Inc. (RJO), one of the oldest and largest futures commission merchants, today announced that it has hired Jennifer Martin as Assistant Vice President of Institutional Sales.

Osaka Securities Exchange Introduces New Give-Up System

Date 17/11/2004

Osaka Securities Exchange Co., Ltd. (OSE) will introduce a new Give-Up System for all its futures and options contracts during the second half of 2005.
New York Attorney General Eliot Spitzer Founders Of PBHG Funds Settle Market Timing Case

Date 17/11/2004

Attorney General Eliot Spitzer today announced an agreement that requires the founders of PBHG, a leading mutual fund family, to personally pay more than $120 million in restitution to investors and accept a lifetime ban from the securities industry. The individuals will also pay a total of $40 million in civil penalties.
NASD Mutual Fund Task Force Submits Recommendations on Soft Dollars, Portfolio Transaction Costs To SEC

Date 17/11/2004

NASD has submitted the first set of recommendations by its recently appointed Mutual Fund Task Force to the Securities and Exchange Commission.
KOFEX Weekly Bulletin No. 211 – November 12, 2004

Date 17/11/2004

Please click here to view the KOFEX Weekly Bulletin No. 211 – November 12, 2004.
John Cieslak Executive Vice President & CIO, Interim Co-CEO, TSX Group Speaks In China

Date 17/11/2004

Click here to view a speech that John Cieslak, Executive Vice President & CIO, Interim Co-CEO, TSX Group, gave today in China.