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Securities Industry Association: Directed Brokerage Ban Will Help To Eliminate Conflicts Of Interest

Date 18/08/2004

The Securities Industry Association today expressed its support for the Securities and Exchange Commission’s rule to bar mutual funds from using directed brokerage to compensate brokers’ selling efforts. The new rule will help to eliminate potential conflicts of interest in mutual-fund sales. SIA also applauded the commission for clarifying that the rule is not intended to prohibit directing transactions to broker-dealers that distribute fund shares where funds have policies and procedures des
OneChicago To List 15 New Single Stock Futures

Date 18/08/2004

On Monday the Exchange will have available for trading a total of 133 different security futures: 118 single stock futures, including futures on the DIAMONDS® Trust, and 15 futures on the Dow Jones MicroSector IndexesSM. Each single stock futures contract is equivalent to 100 shares of the underlying stock or exchange-traded fund.
NYSE August Newsletter: NYSE Unveils Plan To Expand Access To Electronic Trading

Date 18/08/2004

Click here to download NYSE's August 2004 Newsletter. Among the articles is "NYSE Unveils Plan to Expand Access to Electronic Trading". Giving customers more choices. That’s the reason behind the NYSE’s plan to expand its electronic trading facility and evolve into a full-fledged hybrid electronic and floor-based auction market.
Nymex Announces Accountability Levels And Reporting Requirements For Natural Gas Swing And Swap Futures

Date 18/08/2004

The New York Mercantile Exchange, Inc., today announced position accountability levels and large trader reporting levels for the natural gas swing and index swap futures contracts that will launch on the evening of August 22.
New Milestone For CanDeal - Aggregate Dollar Value Of Trading Exceeds $100 Billion

Date 18/08/2004

Today, CanDeal.ca announced that the volume traded in debt securities by Institutional Investors on CanDeal’s trading network has surpassed $100 billion. This marks a milestone in CanDeal’s brief history of providing institutional investors and dealers with online debt trading and market data tools to compliment their traditional market activities.

National Stock Exchange(SM) Year-To-Date Trades And Share Volume Surpass Full Calendar Year 2003 Record Totals: July 2004 Trades Set New Monthly Record

Date 18/08/2004

National Stock Exchange (NSX(SM)) today announced that both trades and share volume for the first seven months of 2004 exceeded the record annual trades and share volume levels for calendar year 2003. Year-to-date trades through July 2004 reached 162.8 million, compared with a record 145.6 million for the full calendar year 2003. Share volume of 72.3 billion surpassed the 2003 record annual total of 68.9 billion shares.
Lao Central Bank’s Governor Seeks Information From The SET To Use In Establishing Laotian Exchange

Date 18/08/2004

The President of The Stock Exchange of Thailand (SET), Mr. Kittiratt Na-Ranong, disclosed that today (August 18, 2004), Governor of the Bank of the Lao People’s Democratic Republic, Mr. Phoumy Thipphavone and senior executives visited the SET and attended a presentation on the SET’s operation and trading systems. They also visited the SET’s computer center. The purpose of their visit is to obtain information to establish a stock exchange for the Lao PDR.
Janus Capital Management Agrees To Pay $100 Million To Settle SEC Fraud Charges For Undisclosed Market Timing Agreements

Date 18/08/2004

The Securities and Exchange Commission announced today a settled enforcement action against Janus Capital Management LLC (JCM), a registered investment adviser based in Denver, Colo., for entering into undisclosed market timing agreements with certain investors. The Commission ordered JCM to pay disgorgement of $50 million and civil penalties of $50 million, for a total payment of $100 million. JCM also consented to a cease-and-desist order and a censure, and agreed to undertake certain complian
Investment Guide To The Exchanges Sector Published

Date 18/08/2004

Mondo Visione, the exchange information specialist, has released the July 2004 edition of World Exchanges: Global Industry Outlook And Investment Analysis, the quarterly publication for those operating and investing in listed exchanges, and their customers, suppliers and competitors.
EuroMTS Official Statement In Response To The Launch Of The FSA Investigation Today

Date 18/08/2004

Francesco Margini, Deputy CEO of EuroMTS, said "In relation to today's announcement by the FSA regarding the formal investigation of Citigroup's activities on 2 August 2004, EuroMTS will continue to cooperate with the FSA and all relevant European regulators in relation to the large transactions executed across a number of markets managed by the MTS Group. EuroMTS is continuing to review the matter internally and no further action shall be taken at this time."