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Archipelago Exchange Approved By SEC

Date 26/10/2001

The Pacific Exchange (PCX) yesterday received approval from the Securities and Exchange Commission (SEC) to launch the Archipelago Exchange (ArcaEx), the first totally open, fully electronic stock market for New York Stock Exchange, American Stock Exchange, and Nasdaq securities in the United States. Archipelago, a leading U.S.-based electronic communications network (ECN), will convert its technologically advanced equity trading system into ArcaEx, a regulated facility of the Pacific, and a rep
TSE's Stymiest Tackles Canadian Market Challenge

Date 25/10/2001

Barbara Stymiest, President and CEO of the TSE and CDNX, will tackle issues around developing vibrant, competitive capital markets in British Columbia and Canada following the TSE acquisition of CDNX at a luncheon address to the Vancouver Board of Trade on October 29, 2001.
Stephen Cutler Named SEC Enforcement Director

Date 25/10/2001

The Securities and Exchange Commission today announced the appointment of Stephen M. Cutler as Director of the Division of Enforcement. In that role, Mr. Cutler will oversee the Commission's enforcement program in Washington D.C. and in 11 regional and district offices throughout the country.
SEC Historical Society To Hold Major Issues Conference On Securities Regulation In the Global Internet Economy

Date 25/10/2001

The Securities and Exchange Commission today announced that the Securities and Exchange Commission Historical Society, in cooperation with the Commission and with the support of the Northwestern University School of Law, will hold a Major Issues Conference on Securities Regulation in the Global Internet Economy. This is the first SEC-supported conference since 1984 that is devoted to examining broad policy issues in securities regulation.
SEC Chairman Harvey Pitt Announces The Selection Of Brian J. Gross As First Director Of Communications

Date 25/10/2001

Securities and Exchange Commission Chairman Harvey L. Pitt today announced the selection of Brian J. Gross as the Commission's first Director of Communications. This position was recently created to coordinate the framing of the Commission's policies and the communication of these policies to the agency's multiple constituencies.

SEC Approves Proposal To Establish The Archipelago Exchange As The Equities Trading Facility Of The Pacific Exchange, Inc. - The PCX's Archipelago Exchange Becomes The First Fully Electronic National Securities Exchange For Trading Equity Securities Since

Date 25/10/2001

The Securities and Exchange Commission today approved the proposal of the Pacific Exchange, Inc. (PCX) to establish the Archipelago Exchange (ArcaEx) as its new, electronic communications and trading facility. The all-electronic ArcaEx facility will operate in place of the trading floor of the PCX's subsidiary, PCX Equities, Inc., with ArcaEx market makers replacing the traditional floor specialists. The ArcaEx facility is the first fully electronic national securities exchange for the trading o
Program Trading Averaged 22.9 Percent Of NYSE Volume During Oct. 8-12, 2001

Date 25/10/2001

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. 8-12, 2001.
OM Sells Shares In Orc Software

Date 25/10/2001

OM today sold 1 million shares of its 6 million shares in Orc Software, the electronic trading and risk management software company listed on Stockholmsbörsen.
NZSE Looks To Second Half Of 2002 For Demutualisation

Date 25/10/2001

The New Zealand Stock Exchange ("NZSE") is now expecting to be demutualised by the middle of 2002, with a subsequent listing, chairman Mr Simon Allen told the annual meeting today in Auckland.
Final Rule Amendments To Books And Records Requirements For Brokers And Dealers Under The Securities Exchange Act Of 1934

Date 25/10/2001

The Securities and Exchange Commission today adopted final rule amendments to the broker-dealer books and records rules (Rule 17a-3 and Rule 17a-4) under the Securities Exchange Act of 1934. The amendments clarify and expand recordkeeping requirements including those for purchase and sale documents, customer records, associated person records, customer complaints, communications with the public, and supervisory procedures. In addition, the amendments require broker-dealers to maintain or promptl