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Securities Industry Association: Growth In Revenues, Profits Dips For Securities Industry In Second Quarter 2004

Date 14/09/2004

The exceptionally strong gains in revenues and profits that were first posted by securities firms in the first quarter of 2003 slowed in the second quarter of 2004, according to the Securities Industry Association’s latest Research Reports. Profits for all NASD and NYSE-reporting firms were $2.98 billion in the second quarter of 2004, 61.2 percent below second quarter 2003 ($7.7 billion) and 60.7 percent below profits for the first quarter 2004 ($7.6 billion). Gross revenues were $53.93
SEC Charges Charles Schwab & Co. With Improperly Allowing Certain Customers To Purchase Mutual Fund Shares After Market Close

Date 14/09/2004

The Securities and Exchange Commission announced today that it has instituted settled enforcement proceedings against San Francisco-based broker-dealer Charles Schwab & Co., Inc. The Commission charged that Schwab allowed investment adviser customers to change mutual fund orders after the 4:00 p.m. Eastern time market close, creating the risk that such customers could unfairly capitalize on late-breaking news at the expense of other mutual fund investors. Schwab consented to the entry of an orde
Quarterly Rebalancing For S&P/MIB Index

Date 14/09/2004

Standard & Poor’s as part of the quarterly rebalancing, will change the shares outstanding and the Investible Weight Factors for the S&P/MIB effective at the open of business Monday, September 20, 2004.
NZX Appeal Panel Members Appointed By Securities Commission

Date 14/09/2004

New Zealand Exchange Limited (NZX) wishes to advise the market that the Securities Commission has appointed the following people to the NZX Appeal Panel: Simon Upton, QC and Euan Abernethy as legal appointees John Rattray and Don Turkington as former market participants Peter Clapshaw and Bill Thurston as former Directors Brian Allison as the member of the public.
NYSE Seat Sells For $1,205,000

Date 14/09/2004

A regular seat sold on the New York Stock Exchange on Tuesday, September 14, 2004, for $1,205,000; up $55,000 from the previous regular seat sale on August 27, 2004.

NYSE Names Peter W. Jenkins Senior Vice President, Institutional Client Group

Date 14/09/2004

The New York Stock Exchange today named Peter W. Jenkins, 46, senior vice president, Institutional Client Group. Formerly a managing director and head of North Americas Active Equity Trading for Deutsche Bank Asset Management (DeAM), Mr. Jenkins will report to NYSE President and Co-COO Catherine R. Kinney.
NYSE - Getting the Message: Faster, Better Information - Trading Floor Begins Transition To Next-Generation Communications System

Date 14/09/2004

Almost as soon as Lehman Brothers’ Robert Seton-Harris began using the NYSE’s newly upgraded messaging system, he noticed an unmistakable gain in efficiency. For starters, communication among the Lehman brokers who trade at the NYSE was much faster, enabling them to make quicker decisions and execute better trades for their customers.
Nymex To Decrease Margins On New York Independent System Operator Electricity Futures

Date 14/09/2004

The New York Mercantile Exchange, Inc., said that it will decrease the margins on its three New York Independent System Operator (NYISO) electricity futures contracts at the close of business on Wednesday.
Nymex To Add Seasonal Differentials To Natural Gas Calendar Spread Options Contracts

Date 14/09/2004

The New York Mercantile Exchange, Inc., will beginning tomorrow list two additional natural gas calendar spread options contracts based on October–to–April and April–to–October differentials.
No Changes To FTSE Country Classification In 2005

Date 14/09/2004

Global index provider FTSE Group, said today that no changes will be made to the current classification (ie designation as developed or emerging markets) of any countries in the FTSE Global Equity Index Series during 2005. The decision has been confirmed by the FTSE Equity Index Committee, following a six-month engagement period between FTSE Group and stock exchanges around the world, including a close examination of market structures and conditions. FTSE’s analysis showed that no countries cu