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  • FINRA Fines Leonard & Co. For Sale Of Unregistered Securities, Bars Broker For Unregistered Penny Stock Sales, Other Violations - FINRA Issues Regulatory Notice Regarding Sales Of Unregistered Securities

    Date 13/01/2009

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Leonard & Co. of Troy, MI, $225,000 for numerous violations, including the illegal sale of more than two million shares of penny stock on behalf of customers. FINRA also required the firm to retain an independent consultant to review its supervisory systems and procedures.

  • SGX Appoints New Head Of Operations

    Date 13/01/2009

    Singapore Exchange Limited (SGX) announced today that it has appointed Mr Benjamin Foo, Senior Vice President (SVP), as Head of Operations. He is currently SGX’s Head of AsiaClear and Clearing and Commodities Business.

  • The Channel Islands Stock Exchange Achieves Its Latest Listed Security Milestone

    Date 13/01/2009

    The Market Authority of the Channel Islands Stock Exchange (CISX/Exchange) is pleased to announce the approval of the 3,000th security, which was admitted to the Official List on 15 December 2008. Best Buy Distributions Ltd, an issuer of specialist debt securities, was sponsored by Ogier Corporate Finance Ltd.

  • New Market Makers Connect To PLUS

    Date 13/01/2009

    PLUS Markets Group plc (“PLUS Markets”) today confirms that three new major liquidity providers have been admitted to membership of its market and have successfully connected to the PLUS trading platform. The three firms are: BNP Paribas, Cazenove and Merrill Lynch.

  • Vienna Stock Exchange Launches First CEE Sustainability Index: CEERIUS

    Date 13/01/2009

    The Vienna Stock Exchange today announces that it has enlarged its range of indices with a new real-time sustainability index CEERIUS® – CEE Responsibility Investment Universe. With this index, the Vienna Stock Exchange is the first stock exchange to calculate a sustainability index for Eastern Europe. CEERIUS® is a capitalization-weighted price index and is calculated in EUR. It consists of those companies that are traded on the stock exchanges of the region of Central, Eastern and Southeast

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