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U.S. Commodity Futures Trading Commission Announces Participation In IOSCO Multilateral Enforcement MOU - IOSCO MOU Is The First Worldwide Multilateral Enforcement Cooperation Arrangement Among Securities And Derivatives Regulators

Date 16/10/2003

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it is a signatory to the multilateral Memorandum of Understanding concerning Consultation, Cooperation and the Exchange of Information of the International Organization of Securities Commissions (IOSCO). Today's announcement coincides with IOSCO's statement listing the first group of 24 signatories to this ground breaking international enforcement initiative.
TSX Venture Exchange Summary (September 2003)

Date 16/10/2003

The following is a brief overview of statistic highlights from the TSX Venture Exchange for September 2003. Graduates There were 3 graduates to the Toronto Stock Exchange in September 2003. The total number of year-to-date graduates has increased to 37. This represents 43.0% of the senior market's new listings this year compared to 19.7% for the same period last year. Additionally, 6 TSX Venture companies were acquired/merged with TSX listed companies in 2003.
The Philadelphia Stock Exchange To Begin Trading Options On The Europe Sector Index (XEX<SUP>sm</SUP>) On Monday, October 20

Date 16/10/2003

The Philadelphia Stock Exchange announced today that it will begin trading options on the Europe Sector Index (XEXSM) on Monday, October 20.
The Archipelago Exchange Calls For Reform Of The New York Stock Exchang - Jerry Putnam, CEO Of World's Largest Electronic Stock Exchange, Testifies To Congress In Favor Of Market Structure Changes Centered On Competition, Customer Choice

Date 16/10/2003

In testimony to the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises on October 16, 2003, Jerry Putnam, CEO of the Archipelago Exchange (ArcaEx), called for pro-competitive changes in the listed marketplace and an end to the NYSE monopoly. Putnam drew parallels to the mid-1990's Nasdaq scandal and the ultimate reform of the OTC marketplace that opened the door to innovation, competition and an improved and dynamic OTC market. He testified that reform of the Inter-M
SGX Admits Leggenda Investimento As Member

Date 16/10/2003

Singapore Exchange Limited (SGX) today announced that it will admit Leggenda Investimento Pte Ltd as a Commercial Associate Member (Introducing/Executing Broker) in its derivatives market with effect from 24 October 2003.

Program Trading Averaged 37.9 Percent Of NYSE Volume During Oct. 6-Oct. 10, 2003

Date 16/10/2003

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 Oct. 6-Oct. 10, 2003.
Philadelphia Stock Exchange Chairman Testifies At Congressional Hearing On Market Structure - "Calls On SEC To Strengthen The Market Through Enhanced Competition Via Regional Exchanges"

Date 16/10/2003

Meyer S. "Sandy" Frucher, Chairman and CEO of the Philadelphia Stock Exchange, testified today before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, addressing a range of market structure issues and the vital role that regional exchanges play in promoting competition and ensuring investor protection.
NZX Finalises NZSX Index Family

Date 16/10/2003

New Zealand Exchange Limited (NZX) wishes to advise that it has finalised the makeup and structure of the remaining NZSX indices, the NZSX 10, the NZSX MidCap, the NZSX SCI (Small Cap) and the NZSX All.
NYSE Informs Specialist Firms Of Planned Disciplinary Action - Systems Software Being Implemented To Deter Improper Trading

Date 16/10/2003

The New York Stock Exchange Enforcement Division has informed five specialist firms that it has determined to bring disciplinary action against them. The actions will allege failure to comply with fundamental Exchange auction market rules and policies and applicable securities regulations during a three-year period from Jan. 1, 2000 through Dec. 31, 2002. The Exchange will also seek substantial fines and improvements in the self-monitoring and compliance practices of specialist firms, as well a
NYSE Holds Media Briefing Conference Call Regarding Planned Disciplinary Actions Against Five Specialist Firms

Date 16/10/2003

Catherine R. Kinney, executive vice chairman, president and Co-COO, Edward Kwalwasser, group executive vice president of Regulation, and David Doherty, executive vice president of Enforcement answer questions regarding planned disciplinary actions to be brought against five specialist firms.