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SEC Brings Settled Fraud Action Against Mutual Fund Adviser Van Wagoner Capital Management, Inc., And Garrett Van Wagoner

Date 26/08/2004

The Securities and Exchange Commission today filed settled fraud charges against Van Wagoner Capital Management, Inc. (VWCM), the investment adviser to the Van Wagoner Funds, Inc. (the Funds), and Garrett Van Wagoner, the president of VWCM, relating to their misstatement of the valuations of certain securities held by the Funds. The settlement includes an $800,000 penalty from Van Wagoner and VWCM, a seven-year prohibition on Van Wagoner serving as an officer or director of a mutual fund, and a
SEC - Deutsche Bank Securities Inc. And Thomas Weisel Partners LLC Settle Enforcement Actions Involving Conflicts Of Interest Between Research And Investment Banking - Deutsche Bank Securities To Pay $87.5 Million, Including Penalty Of $7.5 Million For Fa

Date 26/08/2004

The Securities and Exchange Commission, the North American Securities Administrators Association (NASAA), NASD, Inc., New York Stock Exchange (NYSE), and state securities regulators, including California's Department of Corporations, announced today enforcement actions against Deutsche Bank Securities Inc. and Thomas Weisel Partners LLC. These settlements are related to the April 2003 Global Settlement that ten other investment banks reached with the SEC, state securities regulators, NASD, and N
Program Trading Averaged 53.2 Percent Of NYSE Volume During Aug. 16-20

Date 26/08/2004

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 Aug. 16-20.
NYSE Names Edgar S. Woolard, Jr. To Board Of Directors

Date 26/08/2004

The New York Stock Exchange board has elected Edgar S. Woolard, Jr., retired chairman of DuPont, to its board of directors. Mr. Woolard takes the seat vacated by Mr. D. Euan Baird, who resigned April 23, 2004.
NYBOT To Launch Russell 2000® Growth And Russell 2000® Value Index Contracts In September

Date 26/08/2004

The New York Board of Trade® (NYBOT®) announced today that it will roll out two new additions to its suite of Russell Index futures contracts: the Russell 2000 Growth (symbol GH) and Russell 2000 Value (symbol VB), the style versions of the Russell 2000 Index of small cap U.S. equities. Both Russell futures contracts begin trading in NYBOT’s Equity Index marketplace on Friday, September 17th.

New York Mercantile Exchange To Widen Strike Price Intervals For Long-Dated Silver Options

Date 26/08/2004

The New York Mercantile Exchange, Inc., announced today that it will expand the intervals between strike prices for its silver options contracts at least two years away from expiration beginning September 7.
ISE To List Options On Google

Date 26/08/2004

The International Securities Exchange (ISE) said that it will list options on Google Inc. (GOOG) Friday, August 27, 2004.
GICS Sub-Industry Changes In The S&P U.S. Indices

Date 26/08/2004

At the close of trading on Tuesday, August 31, 2004, Standard & Poor’s will be making S&P GICS sub-industry changes in the S&P 500 Index, S&P MidCap 400 Index and S&P SmallCap 600 Index.
CFTC Announces Departure Of Scott Parsons

Date 26/08/2004

The Commodity Futures Trading Commission (CFTC) today announced that Chief of Staff/Chief Operating Officer Scott Parsons will be leaving the Commission August 30, 2004, to become Executive Vice President, Strategic and Government Affairs for Managed Funds Association (MFA).
American Stock Exchange To Trade Options On Google Inc., Class A

Date 26/08/2004

The American Stock Exchange (Amex) will launch trading in options on Friday, August 27, 2004 on the Nasdaq Stock Market listed stock of Google Inc., Class A (Stock Symbol: GOOG/Option Symbol: GOQ).