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  • SEC Extends Time For Banks To Comply With Gramm-Leach-Bliley Act Broker Registration Requirements

    Date 08/03/2005

    The Securities and Exchange Commission announced today that it issued an order further extending until Sept. 30, 2005, the compliance dates for banks with respect to certain broker registration requirements contained in the Gramm-Leach-Bliley Act (GLBA). The Commission does not expect banks to develop compliance systems to meet the terms of the "broker" exceptions until the Commission amends its rules. Banks have indicated that they will need time to implement systems to ensure compliance with t

  • Safeguarding Danish Influence On The Self-Regulating Powers Exercised By The Copenhagen Stock Exchange

    Date 08/03/2005

    With a view to safeguarding Danish influence on the self-regulating powers exercised by the Copenhagen Stock Exchange an Advisory Committee has been set up in connection with the combination of OMX AB and the Copenhagen Stock Exchange regarding the Exchange’s self-regulating powers.

  • Pulp Options Contract Has Brisk First Day Of Trading At NYBOT

    Date 08/03/2005

    The First Day Of Trading For The New York Board Of Trade® (NYBOT®) Pulp Options Contract Showed 261 Contracts Trading On Monday, March 7. The Pulp Futures Contract, Which Started Trading Friday, March 4, Also Had A Solid Trading Day On Monday With 584 Contracts Changing Hands.

  • Paul Barnard Resigns As Director JSE Securities Exchange South Africa

    Date 08/03/2005

    The JSE Securities Exchange South Africa (JSE) announces that Paul Barnard today resigned as a director of JSE. Mr. Barnard has been a director of the JSE since December 2000, when it restructured its Board.

  • NYSE Regulation Fines Merrill Lynch, Pierce, Fenner & Smith Incorporated $13.5 Million

    Date 08/03/2005

    New York Stock Exchange Regulation announced today that it has taken disciplinary action against Merrill Lynch, Pierce, Fenner & Smith, Incorporated of New York City (“Merrill Lynch”), a member firm, for failing to supervise a group of brokers in its Fort Lee, New Jersey office who engaged in improper market timing of mutual funds.