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Securities Industry Association: U.S. Underwriting Nearly $3 Trillion In U.S. For Second-Straight Year - Three-Quarters Of Americans’ Liquid Assets Remain In Securities; Foreign Investors’ Purchases Of U.S. Securities Remain Strong; M&A Activity Continued

Date 04/11/2004

The U.S. securities industry continued to raise trillions of dollars for new and expanding businesses as individuals, both U.S.- and foreign-based investors, increased their ownership of equities.
Securities Industry Association Chairman Announces New “Commitment To Clarity” Campaign To Serve As Cornerstone In Building Investor Trust - Comprehensive Initiative Calls For Full Disclosure, Greater Transparency, Enhanced Investor Education

Date 04/11/2004

As part of a comprehensive campaign to improve the quality, transparency, and efficiency of the securities markets, Securities Industry Association 2004 Chairman Richard E. Thornburgh announced a new “Commitment to Clarity” initiative to enhance investor education and reinforce the dedication of financial institutions to promoting investor trust.
Program Trading Averaged 51.4 Percent Of NYSE Volume During Oct. 25-29

Date 04/11/2004

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 Oct. 25-29.
OneChicago To Launch Two New Single Stock Futures

Date 04/11/2004

The CME Clearing Codes web page for OneChicago products has been updated to show the additional 2 stock futures to launch on November 5, 2004. The two new Single Stock Futures are Consolidated Edison, Inc. and DreamWorks Animation SKG, Inc.
New York Attorney General Eliot Spitzer: Fremont Investment Advisors Settles Market Timing Case - $4.1 Million Settlement Includes Enhanced Ethics And Compliance Controls

Date 04/11/2004

New York Attorney General Eliot Spitzer today announced a settlement with Fremont Investment Advisors, Inc. (FIA) that resolves allegations that the company permitted market timing and late trading of its mutual funds. The agreement was reached in cooperation with the Securities and Exchange Commission.

New Appointments At Bursa Malaysia

Date 04/11/2004

Bursa Malaysia Berhad would like to announce the following new appointments which came into effect on 1 November 2004: Mohd Ridzal Sheriff, Head, Group Business Development
Lackritz: Securities Industry Association Compiled Impressive Record In 2004; Association Well-Positioned To Meet Challenges, Maximize Opportunities In The Year Ahead - Industry’s Commitment To Service, Values, And Clarity Key To Achieving Goals

Date 04/11/2004

Securities Industry Association President Marc E. Lackritz today said that in an uncertain world, the industry’s continued success depends on its commitment to service, values, and clarity. In his address to the opening session of the association’s 33rd annual meeting here, Lackritz said the industry has done a good job handling often adverse conditions and has made progress toward building a better future for issuers, investors, and securities firms.
Investors’ Perceptions Of Securities Industry Improve - Tenth Annual Securities Industry Association Investor Survey Shows Guarded Optimism That Reforms Are Working - Investors Cite Overall Satisfaction With Brokers, Concerns About Industry Behavior, Desi

Date 04/11/2004

More investors today feel positively toward the securities industry than in 2002 and 2003, according to the annual Securities Industry Association Investor Survey, but ratings are lower than in the period 1997-2001. Sixty-four percent of respondents expressed favorable opinions of the industry, a rebound from 55 percent in 2002 and 2003.
Fremont Investment Advisors To Pay Over $4 Million To Settle SEC Market Timing And Late Trading Charges

Date 04/11/2004

The Securities and Exchange Commission today charged San Francisco-based mutual fund adviser Fremont Investment Advisors with entering into improper and undisclosed agreements that allowed favored large investors to engage in rapid short-term securities trading known as market timing. Also charged by the Commission for their role in Fremont's improper market timing arrangements were former President and CEO Nancy Tengler and former Vice President of Institutional Sales Larry Adams. In addition t
Fomento Economico Mexicano S.A. de C.V. - UBD IWF Change In The S&P Latin American 40 Indices

Date 04/11/2004

Standard & Poor’s will make the following changes in the S&P Latin America 40 Index effective after the close of trading on Monday, November 8, 2004. Fomento Economico Mexicano S.A. de C.V. - UBD (Mexico, SEDOL 2242059) Investable Weight Factor will change to 1% from 0.64%. This change comes after further clarification from the company regarding the holdings breakdown for the various classes of shares.