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NYSE Regulation, Inc. Announces Disciplinary Actions Against Seven Firms, Eight Individuals

Date 13/12/2006

This is NYSE Regulation, Inc.'s Disciplinary Actions announcement for December 2006.
NASDAQ Announces November Market Performance Statistics

Date 13/12/2006

The Nasdaq Stock Market, Inc. (Nasdaq:NDAQ) today announced its consolidated market performance statistics for the NASDAQ Market Center, INET and Brut trading platforms for the month of November.
CME Names VSA As Agency Of Record

Date 13/12/2006

CME, the world's largest and most diverse financial exchange, has named VSA Partners, Inc., a global branding and strategic marketing firm, as its agency of record. VSA will help develop CME's comprehensive brand identity and work with the company's marketing team to create an integrated marketing program that reflects CME's evolution and its enabling role in the world economy.
NASD Fines Four Firms For Supervisory Failures Relating To Mutual Fund Sales Charge Waivers - Edward Jones, RBC Dain Rauscher, Royal Alliance, And Morgan Stanley To Pay An Estimated $43.8 Million In Remediation To Customers - Morgan Stanley Credited For T

Date 13/12/2006

NASD announced today that it has imposed fines totaling $850,000 against four firms - Edward D. Jones & Co., L.P. of St. Louis ($250,000), RBC Dain Rauscher Inc. of Minneapolis ($250,000), Royal Alliance Associates, Inc. of New York ($250,000), and Morgan Stanley DW Inc. of New York ($100,000) - for failing to have adequate supervisory systems and procedures to identify opportunities for investors to purchase Class A mutual fund shares at net asset value (NAV), or without a front-end sales charg
SEC Approves CBOE'S New Portfolio Margining Rules To Benefit Customer Accounts

Date 13/12/2006

The Chicago Board Options Exchange (CBOE) announced today that the Securities and Exchange Commission (SEC) approved amendments to CBOE rules that allow for expanded portfolio margining for customer accounts.The effective date of the amendments is April 2, 2007.

Oslo Børs: Press Release From The Stock Exchange Appeals Commitee (SINVEST)

Date 13/12/2006

At its meeting on 12 December 2006, the Stock Exchange Appeals Committee considered appeals from: Aban Singapore Pte Ltd and Aban 7 Pte Ltd (‘Aban’) First Securities ASA and (‘First’) ICICI Bank UK Limited (‘ICICI’)
Year-To-Date Trading In AEX Index Options Hits 25 Million Mark

Date 13/12/2006

The number of options on the AEX index traded this year passed another milestone today when year-to-date trading volumes in the contract reached 25 million.
GL TRADE Ranked Amongst The Top 20 Of The Truffle 100 European Software Firms

Date 13/12/2006

GL TRADE, global provider of front-to-back office software solutions for international financial institutions, came 19th in the Truffle 100 Europe ratings in 2006, far ahead of its competitors Fidessa and Orc Software.
UK's Financial Services Authority: International Regulatory Outlook - December 2006

Date 13/12/2006

Click here to download the UK's Financial Services Authority International Regulatory Outlook for December 2006.
Oslo Børs: Press Release From The Stock Exchange Appeals Commitee (EDRILL)

Date 13/12/2006

At its meeting on 12 December 2006, the Stock Exchange Appeals Committee considered appeals from: Cheyne Special Situations Fund LP, Arnold and S Bleichroedher Holdings Inc, Aetos Corporation, Iolaire Investment Limited Partnership, Institutional Benchmark Series (Master Feeder) Limited (the Bakram Series) and MSS Capital Limited, Eastern Drilling ASA (“Eastern Drilling”), Lime Rock Partners III, L.P and Universities Superannuation Scheme, and SeaDrill Ltd (‘SeaDrill’) a