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Banc One Securities Corporation Fined $400,000 For Supervisory Failures Relating To Late Trading - NASD Also Cites Banc One For Inaccurate Recording Of Order Entry Times

Date 12/01/2005

NASD announced today that it has censured and fined Banc One Securities Corporation $400,000 for failing to implement adequate supervisory systems and written procedures designed to detect and prevent “late trading” of mutual funds, and for inaccurately recording the entry time for customer orders.
Ad-hoc Publicity: Preliminary Enquiries Against Swiss International Air Lines Ltd. Halted

Date 12/01/2005

In November 2004, the SWX Swiss Exchange announced that it had instituted preliminary enquiries against Swiss International Air Lines Ltd. (SWISS) with regard to a possible breach of Art. 72 of the Listing Rules (ad-hoc publicity). In the course of these enquiries, SWX concluded that SWISS did not breach the ad-hoc publicity rules. SWX has thus halted proceedings.
LME Announces Full Year Exchange Volumes For 2004

Date 12/01/2005

The London Metal Exchange (LME) has today announced the annual volume figures for 2004. The results reveal another successful year for the Exchange, maintaining the record levels set in 2003. Total lots traded were just under 72 million with a value of over $3,000 billion for 2004.
Two Former Registered Representatives Of A Boca Raton Broker-Dealer/Investment Adviser Settle SEC Charges In Connection With Fraudulent Mutual Fund Market Timing And Late Trading Activities

Date 11/01/2005

The Securities and Exchange Commission today announced a settled administrative proceeding against Respondents Lawrence S. Powell and Delano N. Sta.Ana in connection with their participation in a scheme to defraud mutual fund shareholders through improper market timing and late trading. Powell and Sta.Ana were formerly associated as registered representatives at Kaplan & Co. Securities, Inc., a Boca Raton-based broker-dealer and investment adviser. The Commission ordered Powell and Sta.Ana to pa
Trading In Russell Index Futures On Eurex US Supported By Strong Network Of Market Makers - Russell 1000® And Russell 2000® Futures To Begin Trading On February 4 - Three Month Fee Waiver For Russell Products

Date 11/01/2005

Eurex US, the fully-electronic U.S. futures and options exchange, today confirmed February 4 as the launch date for its new futures on the U.S. large-cap Russell 1000 index and the U.S. small-cap Russell 2000 index. The introduction of these products will expand Eurex US's product portfolio to include U.S. index derivatives for the first time.

Tokyo Stock Exchange Monthly Trading Volume & Value - December 2004

Date 11/01/2005

Trading Volume & Value will be available on the 5th working day of the following month.
Tokyo Stock Exchange Business Data (Stocks) – January 2005

Date 11/01/2005

Please click here to view Tokyo Stock Exchange Business business and financial information for January 2005.
Stockholmsbörsen: Serious Criticism Against Song Networks Holding AB

Date 11/01/2005

Stockholmsbörsen directs serious criticism against Song Networks Holding AB (Song) for the company´s breach of the listing agreement in conjunction with the public offer submitted by TDC A/S (TDC) for the company. The breach took the form of Song disclosing information, in connection with the due-diligence examination conducted before TDC submitted an offer for the company, that could have had material influence on its share price, without subsequently publicly disclosing this information in acc
SET To More Proactively Supervise Securities Trading

Date 11/01/2005

SET Executive Vice President Mr. Suthichai Chitvanich disclosed that the SET would apply a more proactive approach in trading surveillance. This will also be assisted by the use of a more technologically advanced Alert System and the new ATOMS (Automated Tools for Market Surveillance) System, so a wider range of suspicious trading behaviors can be detected, e.g., unusual volume or value of securities submitted through inappropriate trading orders. An improved surveillance system will lead to mor
SEC Extends Comment Period For SRO Proposed Rulemaking

Date 11/01/2005

The Securities and Exchange Commission today voted to extend for 45 days the comment period on the proposed rulemaking relating to self-regulatory organizations (SROs) that was published in the Federal Register on December 8, 2004 (Release No. 34-50699). These proposed new rules and amendments to existing rules relate to the governance, administration, transparency, and ownership of SROs that are national securities exchanges or registered securities associations, and the periodic reporting of i