Mondo Visione Worldwide Financial Markets Intelligence

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  • SEC Fee Rate Advisory #5

    Date 16/11/2001

    The Congress has passed and will soon send to the President for signature the fiscal 2002 Commerce, Justice, State, and related agencies appropriations bill that will fund the SEC. While the exact date when the bill will be signed is unknown, it is expected to be signed shortly after its arrival at the White House. Effective 12:01 a.m. EST the day the bill is signed, the fee rate on filings made pursuant to Section 6(b) of the Securities Act of 1933 will decrease to $239 per $1,000,000 of

  • SEC Bars Recidivist Tampa Broker

    Date 16/11/2001

    The Securities and Exchange Commission today announced that it had barred a former broker and investment adviser, with a history of violating the securities laws, from association with any broker, dealer, or investment adviser, and prohibited him from, among other things, employment with a registered investment company. On November 6, 2001, the United States Attorney's Office for the Middle District of Florida unsealed an indictment against the same individual, charging him with seven counts

  • NYBOT: Thanksgiving Holiday Trading Schedule

    Date 16/11/2001

    (Eastern Standard Time)

  • MEFF To launch New Futures And Option Contracts On Mini IBEX-35

    Date 16/11/2001

    On November 22, 2001, MEFF will launch new futures and option contracts on IBEX-35 called MINI.

  • Kansas City Board Of Trade Changes Trading Schedule For Friday, November 23, 2001

    Date 16/11/2001

    In coordination with U.S. Stock Exchanges, the Kansas City Board of Trade's Value Line' (KCBT; MV) will close at 12:15 p.m. central time on Friday, November 23,2001.