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  • LaRae Bakerink Appointed Small Firms Representative On NASD Board Of Governors

    Date 03/05/2007

    NASD announced today that its Board of Governors has elected M. LaRae Bakerink, CEO of WBB Securities, LLC., to its small firm seat. She replaces William C. Alsover, who resigned on April 18.

  • Principles-Based Regulation Supported By SIFMA

    Date 03/05/2007

    The Securities Industry and Financial Markets Association (SIFMA) today commended the UK Financial Services Authority (FSA) for its recent paper on Principles-Based Regulation: Focusing On Outcomes That Matter, and called for financial services regulators world-wide to promote a pragmatic, principles-based approach to regulatory requirements.

  • SEC Charges Credit Suisse Investment Banker With Insider Trading

    Date 03/05/2007

    The Securities and Exchange Commission today charged Hafiz Naseem, an investment banker with Credit Suisse (USA) LLC, with illegally divulging non-public information to a person believed to be a banker in Pakistan concerning the leveraged buyout of TXU Corp. by an investor group led by Kohlberg Kravis Roberts & Co. and Texas Pacific Group. Naseem misappropriated the information from his employer, Credit Suisse, which served as a financial advisor to TXU in connection with the buyout.

  • NYMEX Announces Margins For New Uranium Futures Contract

    Date 03/05/2007

    The New York Mercantile Exchange, Inc. today announced margin rates for its new uranium futures contract that will begin trading on May 6 for trade date May 7.

  • 2007 Hard Red Winter Wheat Tour Results Announced At Kansas City Board Of Trade

    Date 03/05/2007

    The final estimate for the 2007 hard red winter wheat tour sponsored by the Wheat Quality Council was announced today at the Kansas City Board of Trade. The final participant estimate for the three-day tour average was a yield of 41.0 bushels per acre, 3.7 bushels higher than the 2006 estimate of 37.3 bushels per acre.