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Standard & Poor’s Announces Changes In S&P/TSX Canadian Indices

Date 22/09/2004

Standard & Poor's Canadian Index Operations announces the following index changes effective after the close of business on Thursday, September 23, 2004:
Standard & Poor’s Announces Changes In S&P Japan SmallCap 250 And S&P Japan 500 Indices

Date 22/09/2004

Standard & Poor’s will make the following changes in the S&P Japan SmallCap 250 and S&P Japan 500 Indices effective after the close of trading, September 30th 2004:
Securities Industry Association Calls For Final Adoption Of SEC Rules For Fee-Based Brokerage Accounts - Broker-Dealers Should Be Able To Offer Fee-Based Accounts Without Additional Regulation

Date 22/09/2004

The Securities Industry Association reiterated its support of the Securities and Exchange Commission’s rule proposal that allows broker-dealers to offer fee-based brokerage accounts without those accounts being subjected to additional regulation under the Investment Advisors Act.
SEC Files Securities Fraud Charges Against Computer Associates International, Inc., Former CEO Sanjay Kumar, And Two Other Former Company Executives - Company Agrees To Settlement With SEC And Justice Department Including $225 Million In Restitution And C

Date 22/09/2004

The Securities and Exchange Commission today announced securities fraud charges against Computer Associates International, Inc. and three of the company's former top executives — Sanjay Kumar, former CEO and Chairman, Stephen Richards, former Head of Sales, and Steven Woghin, former General Counsel. The SEC alleges that from 1998 to 2000, Computer Associates routinely kept its books open to record revenue from contracts executed after the quarter ended in order to meet Wall Street quarterly earn
RTS Stock Exchange New Board Of Directors

Date 22/09/2004

At its September 21st, 2004, Annual meeting, the RTS Stock Exchange Council elected the new Board of the Directors of the Exchange.

OMX Technology Signs Strategic Partnership Agreement With HCL Technologies

Date 22/09/2004

Today, OMX Technology and HCL Technologies signed a five-year strategic partnership agreement involving the outsourcing of certain OMX systems development and maintenance. As a result of the agreement and in line with OMX Technology’s strategy to expand in Asia, OMX has now effectively established a presence in India. The agreement will enable OMX Technology to focus more resources on development of new technology activities and maximize efficiencies across the organization, which translates int
Oleg Saphonov Elected President Of the RTS Stock Exchange

Date 22/09/2004

On September 21st, 2004, the RTS Stock Exchange Partnership Council elected Oleg Saphonov President of the RTS Stock Exchange. From March 2003 Mr. Saphonov worked as the chief financial officer of the Partnership.
NZXFM's MOZY Fund Set To List Next Week

Date 22/09/2004

NZX Funds Management Limited (NZXFM) is pleased to announce that the first of the new Smartshares funds, the NZX Australian MidCap Index Fund (MOZY), closed its initial public offering on Friday 17 September raising $33.2 million.
NZX Accredits SecuritEase® For DMA

Date 22/09/2004

New Zealand Exchange Limited (NZX) is delighted to announce that it has accredited Scientific Software and Systems Limited (SSS)’s SecuritEase® system to provide Direct Market Access (DMA) services to NZX Firms.
NYSE Regulation Announces A $19 Million Agreement With Morgan Stanley Citing Failure To Deliver Customer Prospectuses And Other Supervisory And Operational Failures

Date 22/09/2004

In response to public disclosure today by Morgan Stanley, NYSE Regulation confirmed an agreement in principle with Morgan Stanley to settle a disciplinary action with a censure and $19 million fine for failure to deliver prospectuses to customers in registered offerings, as well as other significant supervisory and operational failures. The firm has also agreed to make an offer of rescission to its customers who failed to receive prospectuses from June 1, 2003 through Aug. 31, 2004.