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SEC Issues Guidance Regarding Prohibited Conduct In Connection With IPO Allocations

Date 07/04/2005

The Securities and Exchange Commission today issued an interpretive release (Release Nos. 33-8565; 34-51500; IC-26828) to provide guidance regarding prohibited conduct by underwriters in connection with initial public offering (IPO) allocations. Regulation M prohibits underwriters and others from bidding for, purchasing, or attempting to induce any person from bidding for or purchasing an offered security during a restricted period as def
SEC Announces Panelists For April 13th Roundtable On Implementation Of Internal Control Reporting Provisions - Discussions To Be Webcast In Real Time

Date 07/04/2005

Securities and Exchange Commission Chairman William H. Donaldson announced today the panelists for the Commission's Roundtable on Implementation of Internal Control Reporting Provisions. The Roundtable will feature a broad range of stakeholders involved with internal control reporting - including investor advocates, representatives of public companies, members of audit committees, auditors, attorneys, and U.S. regulators.
SEC Adopts Regulation NMS And Provisions Regarding Investment Advisers Act of 1940

Date 07/04/2005

On April 6, the Commission voted to adopt provisions regarding the application of the Investment Advisers Act of 1940 to certain broker-dealers. (See Advisers Act Release No. 1845, Advisers Act Release No. 2278, Advisers Act Release No. 2339, and Advisers Act Release No. 2340).
Resolutions From OMX’s Annual General Meeting

Date 07/04/2005

Shareholders at the OMX Annual General Meeting convened earlier today in Stockholm voted in favor of all resolutions proposed at the meeting, including: The Annual General Meeting approved the Board’s proposal that no dividend be distributed to the shareholders. The current Board members, Adine Grate Axén, Urban Bäckström, Bengt Halse, Birgitta Klasén, Tarmo Korpela, Henrik Normann, Markku Pohjola and Olof Stenhammar, were re-elected. Olof Stenhammar was elected as Chairman of the
Record Level Of Financial Recoveries By Attorney General In ’04 - Funds Recovered For Government And Restitution To Consumers Reach All-Time Highs

Date 07/04/2005

Attorney General Eliot Spitzer announced today a record level of financial recoveries by his office in 2004. Total payments to the state, its local governments and members of the public increased 37 percent to more than $2.3 billion.

Program Trading Averaged 59.9 Percent Of NYSE Volume During Mar. 28-Apr. 1

Date 07/04/2005

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 Mar. 28-Apr. 1.
NYSE Appoints Edward T. McMahon Senior Vice President, Member Firm Relationship Management Group

Date 07/04/2005

The New York Stock Exchange Board of Directors today appointed Edward T. McMahon as senior vice president, Member Firm Relationship Management Group. Mr. McMahon, 51, reports to Catherine R. Kinney, president and chief operating officer.
NYSE Appoints Colin G. Clark Vice President, Competitive Analysis

Date 07/04/2005

The New York Stock Exchange Board of Directors today appointed Colin G. Clark as vice president, Competitive Analysis. Mr. Clark, 35, reports to Robert J. McSweeney, senior vice president, Competitive Position.
Nymex Files Application with Financial Services Authority in London

Date 07/04/2005

NYMEX Europe Limited yesterday filed an application with the Financial Services Authority to become a U.K. recognized investment exchange based in London.
Nymex Announces Position Limits, Accountability Levels, And Spot Month Margin Assessments For New Gasoil Futures Contract

Date 07/04/2005

The New York Mercantile Exchange, Inc., today announced the position limits, accountability levels, and spot month margin assessments for its new Northwest Europe gasoil futures contract that will launch for open outcry trading in Dublin tomorrow.