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SIFMA Recommends That Member Firms Immediately Address Treasury Settlement Fails

Date 23/09/2008

The Securities Industry and Financial Markets Association (SIFMA) through its government and funding divisions, noting a recent, significant increase in the level of settlement fails in the U.S. Treasury securities market is issuing recommendations to member firms. SIFMA recommends that member firms immediately address Treasury settlement fails, and in particular, ensure that management and compliance are engaged in efforts to reduce the overall level of settlement fails in this market.
U.S. Futures Exchange To Introduce Maker-Taker Pricing Model For Mini-Sized U.S. Dollar-Denominated DAX Futures Contracts

Date 23/09/2008

U.S. Futures Exchange (USFE) today announced plans to implement a “maker-taker” pricing model when it launches new mini-sized U.S. Dollar DAX® futures contracts (mini$ DAX® futures) on October 1, 2008.
TMX Group Inc. 2009 Annual Meeting - Wednesday, April 29, 2009

Date 23/09/2008

TMX Group Inc. announces that its Board of Directors has fixed April 29, 2009 as the date for its next annual general meeting of shareholders.
Share Change For Deutsche Bank AG In The S&P Global 100 Index

Date 23/09/2008

Standard & Poor’s will make the following changes in the S&P Europe 350, S&P Euro Plus, S&P Euro and S&P Global 100 indices, effective after the close of trading on Tuesday 30 September 2008: Deutsche Bank (Germany, SEDOL: 5750355, GICS: Financials, GICS Code: 40203030), a member of the S&P Europe 350, S&P Euro Plus, S&P Euro and S&P Global 100 indices, shares will increase to 570,726,000 following the issue of shares to fund the acquisition of a 29.75% stake in Deutsche Postbank AG
SEC Announces Fair Fund Distribution To Investors Harmed By Market Timing In Franklin-Templeton Funds

Date 23/09/2008

The Securities and Exchange Commission today announced a Fair Fund distribution of approximately $49 million to investors who were affected by improper market timing in mutual funds managed by Franklin Advisers, Inc. (Franklin) of the Franklin-Templeton Investments complex.

Share Change For Deutsche Bank AG And Lloyds TSB Group In The S&P European Indices

Date 23/09/2008

Standard & Poor’s will make the following changes in the S&P Europe 350, S&P Euro Plus, S&P Euro and S&P United Kingdom indices, effective after the close of trading on Tuesday 30 September 2008: Deutsche Bank (Germany, SEDOL: 5750355, GICS: Financials, GICS Code: 40203030), a member of the S&P Europe 350, S&P Euro Plus, S&P Euro and S&P Global 100 indices, shares will increase to 570,726,000 following the issue of shares to fund the acquisition of a 29.75% stake in Deutsche Postbank AG
AmSouth To Pay $11 Million For Improper, Undisclosed Use Of Funds To Pay Marketing, Other Expenses

Date 23/09/2008

The Securities and Exchange Commission today issued an enforcement action against AmSouth Bank and AmSouth Asset Management (AmSouth) for defrauding AmSouth mutual funds by secretly using a portion of administrative fees paid by fund shareholders for marketing and other unrelated expenses that should have been paid by AmSouth itself.
SIFMA Supports MSRB As Sole Repository For Continuing Disclosure Documents

Date 23/09/2008

In two comment letters filed with the Securities and Exchange Commission (SEC), the Securities Industry and Financial Markets Association (SIFMA) expressed its support for establishing a continuing disclosure service in connection with the Municipal Securities Rulemaking Board’s (MSRB) Electronic Municipal Market Access (EMMA) system. Under SEC’s proposal, the MSRB would act as the sole repository to receive required continuing disclosure documents from municipal issuers, which would be poste
FESE Response To CESR's Call For Evidence On Regulatory Arrangements For Post-Trading Infrastructures

Date 23/09/2008

FESE welcomes the opportunity given to the industry to contribute to the identification of differences in post-trading regulatory arrangements across Europe. FESE believes this is an important step toward improving the efficiency of cross-border trading in Europe.
CCOutreach National Seminar To Help Enhance Compliance Programs For Protection Of Investors

Date 23/09/2008

The Securities and Exchange Commission today announced that chief compliance officers (CCOs) for mutual fund and investment advisers can begin registering for the agency's annual CCOutreach National Seminar to help them further enhance their compliance programs for the protection of investors.