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Thomas Biolsi Named Associate Regional Director For Examinations In The SEC Northeast Regional Office

Date 12/04/2006

The Securities and Exchange Commission announced today the selection of Thomas A. Biolsi as Associate Regional Director for Examinations in the Commission’s Northeast Regional Office (NERO). In his new position, Biolsi will direct a staff of accountants and examiners responsible for the inspections of investment advisers and investment companies within the Northeast Region. He will assume his new post in mid June.
SGX And OMX Strengthen Partnership

Date 12/04/2006

Singapore Exchange Limited (“SGX”) and OMX (“OMX”) today announced that they are strengthening their partnership, by working more closely together to provide technology solutions and services for the Singapore capital markets. This broadened partnership serves to identify and evaluate potential opportunities for trading, clearing and processing for SGX’s market participants.
Quarterly Rebalancing For S&P/HKEx GEM Index – April 2006

Date 12/04/2006

Standard & Poor’s will make the following changes to the S&P/HKEx GEM Index as part of the April quarterly rebalancing. The rebalance includes company additions and deletions, constituent share and IWF changes. The changes listed below will become effective after the close of trading Friday, April 21, 2006.
Policy Statement Of The Securities And Exchange Commission Concerning Subpoenas To Members Of The News Media

Date 12/04/2006

The U.S. Securities and Exchange Commission today issued the following statement concerning subpoenas to members of the news media: Freedom of the press is of vital importance to the mission of the Securities and Exchange Commission. Effective journalism complements the Commission's efforts to ensure that investors receive the full and fair disclosure that the law requires, and that they deserve. Diligent reporting is an essential means of bringing securities law violations to light and
NYSE Regulation, Inc. Announces Disciplinary Actions Against Five Firms, Five Individuals

Date 12/04/2006

This is NYSE Regulation, Inc. 's Disciplinary Actions announcement for April 2006. Here is the link to the April detail pages: http://www.nyse.com/DiscAxn/discAxn_04_2006.html Link to the sortable Index page: http://www.nyse.com/DiscAxn/discAxnIndex.html

NYSE Group, Inc. Revises Dates For First-Quarter 2006 Financial Results And Conference Call

Date 12/04/2006

NYSE Group, Inc. (NYSE:NYX) will issue a news release announcing earnings for the 2006 first-quarter, ended March 31, 2006, after the NYSE market close on Wednesday, April 19. A conference call with remarks by NYSE Group senior management will be held at 8:30 a.m. (ET) on Thursday, April 20.
New York Mercantile Exchange To Change Margins For Silver And Copper Futures Contracts

Date 12/04/2006

The New York Mercantile Exchange, Inc. today announced margin changes for its silver and copper futures contracts, effective at the close of business on Thursday.
New York Mercantile Exchange Sets Silver Record on NYMEX ACCESS®

Date 12/04/2006

The New York Mercantile Exchange traded a record 9,346 silver contracts on its NYMEX ACCESS® electronic trading platform on April 11, surpassing the previous record of 8,683 contracts set on April 21, 2004.
Nasdaq Investment In London Stock Exchange plc

Date 12/04/2006

The Board of London Stock Exchange plc ("the Exchange") notes Nasdaq’s recent investment in the Exchange at 1,175 pence per share.
NASD DR Proposes Restricting Subpoena Power To Arbitrators - Effort To Increase Efficiency Of Subpoena Process, Maintain Uniform Rule Nationwide

Date 12/04/2006

In an effort to protect investors and other parties from abuse in the subpoena process and to maintain a uniform rule nationwide, NASD Dispute Resolution announced that it has filed with the U.S. Securities and Exchange Commission (SEC) proposed revisions to the Code of Arbitration Procedure which would permit only arbitrators to issue subpoenas.