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Securities And Exchange Commission Seeks Feedback And Announces Date Of Roundtable On Implementation Of Sarbanes-Oxley Internal Control Provisions

Date 22/02/2005

On Feb. 7, 2005, the Commission announced that it would host a roundtable discussion and would solicit written feedback regarding the experiences of registrants, accounting firms and others in implementing the new internal control requirements under Section 404 of the Sarbanes-Oxley Act of 2002. See Press Release 2005-13. Today the Commission announced that the roundtable will be held on Wednesday, April 13, 2005, in the William O. Douglas Room at Commission headquarters, 450 Fifth Street, N.W.,
NYBOT To Offer Groundbreaking Ethics Classes

Date 22/02/2005

The New York Board of Trade® (NYBOT®) announced today the development of the first and only online ethics course specifically designed for futures exchanges.
New York Stock Exchange Issues Monthly Short Interest Report

Date 22/02/2005

The New York Stock Exchange today reported short interest as of the close of business on the settlement date of Feb. 15, 2005 reflecting transactions through Feb. 10.
NASD Fines Quick & Reilly, Piper Jaffray $845,000 For Directed Brokerage Violations

Date 22/02/2005

NASD today announced that it has fined Quick & Reilly, Inc. (now part of Banc of America Investment Services, Inc.) $570,000 and Piper Jaffray & Co. $275,000 for directed brokerage violations. In imposing sanctions against Piper Jaffray, NASD took into account the fact that the firm self-reported its violative conduct after conducting its own internal review. The two cases are the latest enforcement actions in NASD's ongoing effort to crack down on directed brokerage abuses.
Kfw Mittelstandsbank And Deutsche Börse AG Hold 19th "German Equity Forum" - Venue For Innovative Enterprises And Investors In Munich On April 28

Date 22/02/2005

KfW Mittelstandsbank and Deutsche Börse AG, together with the Bavarian Ministry of Economics, will hold the 19th German Equity Forum at the "Forum am Deutschen Museum" in Munich on April 28, 2005. Innovative technological enterprises ranging from early stage to later stage in search of equity capital will meet around 200 venture capital investors at the "German Equity Forum". It is an ideal opportunity for all participants to make contacts and orientate themselves in the market. The experience o

ICEX News & Views - Discussion Of The Declaration Of Cooperation And Division Of Responsibilities Between FME And ICEX

Date 22/02/2005

Click here to download ICEX News & Views volume 5, issue 7, 22 February 2005.
Craig Donohue's Speech To The FIA Law & Compliance Division

Date 22/02/2005

On February 22, CME CEO Craig Donohue spoke to the Futures Industry Association's Law & Compliance Division about the future of the global derivatives industry, CME's opportunities for future growth, and on CME's perspective on the Commodity Futures Modernization Act.
Committee Of European Securities Regulators Publishes The Responses Received To Its Call For Opinions On Its Draft Technical Advice On Possible Implementing Measures Of The Directive 2004/39/EC On Markets In Financial Instruments - Professional Client Agr

Date 22/02/2005

To view the responses, please click here.
AtosEuronext And The Montreal Stock Exchange Celebrate The First Anniversary Of The Boston Options Exchange

Date 22/02/2005

AtosEuronext and the Montreal Stock Exchange are celebrating the first anniversary of the Boston Options Exchange (BOX), in which these two organizations are playing an important role.
American Stock Exchange Reports Increase In Short Interest

Date 22/02/2005

The American Stock Exchange (Amex) member and non-member organizations today reported short interest of 657,457,563 shares as of the February 15 settlement date, an increase of 43,370,138 from the 614,087,425 (adjusted) shares reported in mid-January. The February figure represents trades through February 10, 2005.