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The Technical Committee Of The International Organization Of Securities Commissions Statement Of Principles To Guide Securities Regulators And Others In Addressing The Conflicts Of Interest Securities Analysts May Face

Date 30/09/2003

The IOSCO Statement notes that securities analysts play an important role in global securities markets by helping investors make sense of information about publicly traded companies. However, securities analysts employed by full-service broker-dealers and investment firms - so-called "sell-side" analysts - have recently come under criticism in many countries because of conflicts of interest they may face that can color their research and recommendations.
Stock Manipulation Scheme Involving False Anthrax Claims Subject Of SEC Enforcement Action - Included In The SEC Actions Are Three Attorneys And Multiple Securities Law Recidivists - Justice Department Fraud Division Simultaneously Obtains Criminal In

Date 30/09/2003

The Securities and Exchange Commission filed civil fraud charges today in a stock manipulation scheme in which, among other misconduct, a group of U.S. and European stock promoters attempted to exploit fears of terrorism with false claims about an anti-anthrax compound they claimed to be developing. These promoters, including a convicted felon and three securities law recidivists, acquired control of an SEC reporting company, 2DoTrade, Inc., and engaged in manipulative trading activity and orche
Standard & Poor's Announces Changes In The S&P/TSX Venture Composite Index

Date 30/09/2003

Standard & Poor's will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Wednesday, October 1, 2003:
SEC Sanctions Chicago Stock Exchange And Requires Improvement Of Surveillance And Enforcement Programs

Date 30/09/2003

settled an administrative enforcement action against the Chicago Stock Exchange, finding that the Exchange failed to enforce certain of its trading rules. The Exchange consented to the entry of an order imposing a censure and requiring the Exchange to cease and desist from further violations of the federal securities laws and to comply with significant undertakings designed to enhance the Exchange's oversight of order handling by its members.
SEC Fee Rate Advisory #3 for Fiscal Year 2004

Date 30/09/2003

Starting tomorrow, Oct. 1, 2003, the Securities and Exchange Commission will operate under a continuing resolution that will extend through Oct. 31, 2003. During this period, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates.

Research Paper On The New Dow Jones South Africa Titans 30

Date 30/09/2003

On September 16, 2003, Dow Jones Indexes launched the Dow Jones South Africa Titans 30. The index is based on blue-chip companies headquartered in South Africa. The 30 stocks selected for Dow Jones South Africa Titans 30 are the largest and most liquid securities in their market.
NZX Appoints 10th Sponsor For NZAX Market

Date 30/09/2003

New Zealand Exchange Limited (NZX) is delighted to announce today the accreditation of the tenth NZX Sponsor, to support the opening of the NZAX Market in November. Ernst & Young Corporate Finance Limited, one of New Zealand's largest professional services firms, today joins the nine sponsors previously accredited to the role of NZX Sponsor.
NYSE Announces Fourth-Quarter 2003 Circuit-Breaker And Trading-Collar Levels

Date 30/09/2003

The New York Stock Exchange will implement new circuit-breaker and trading-collar trigger levels for fourth-quarter 2003, effective Wednesday, October 1.
NYBOT Coffee "C" Graders Test To Be Given January 4, 2004

Date 30/09/2003

The New York Board of Trade® (NYBOT®) announced today that its Coffee, Sugar & Cocoa Exchange will give the coffee graders test on January 4, 2004. Parties who are interested in becoming a licensed NYBOT coffee grader must have a minimum of five years experience in the coffee trade and at least five years experience grading in order to qualify for the grading and cupping test.
New York Board Of Trade's Cotton Contract Shatters Five-Year Open Interest Record

Date 30/09/2003

The New York Board of Trade® (NYBOT®) cotton market set an all-time open interest record of 97,260 futures contracts on September 29, 2003. The previous OI record was 95,556 contracts established on January 28, 1998.