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NASD Charges Eight Firms With Directed Brokerage Violations, Imposes Fines Totaling More Than $7.75 Million

Date 10/10/2005

NASD announced today that it has fined eight broker-dealers - including seven retail firms and one mutual fund distributor - more than $7.75 million for directed brokerage violations. The sanctions announced today are the latest actions resulting from an NASD enforcement sweep focusing on the receipt or payment of directed brokerage in exchange for preferential treatment for certain mutual fund companies.
London Stock Exchange: Derivatives Activity Contributes To Growth In SETS Trading

Date 10/10/2005

Trading on SETS, the London Stock Exchange’s electronic order book, continued to show strong growth during September 2005, reflecting the increasing impact of off exchange derivatives trading, now estimated to account for approximately one third of the total value traded on SETS.
JSE Equities Market Weekly Statistics For The Week Ended 07.10.2005

Date 10/10/2005

Attached is the weekly report of certain trading statistics. It must be noted that the statistics relevant to foreign transactions only represent transactions executed through the JSE Equities Market.
ISE Names Head Of Marketing Communications

Date 10/10/2005

The International Securities Exchange (NYSE:ISE) said today that Lenore Kantor-Hendricks has been appointed Head of Marketing Communications. She will report to Bruce D. Goldberg, ISE's Chief Marketing Officer.
HKEx: Exchange Participants Statistics On-floor And Off-floor Trading Statistics - Transaction In Terms Of Turnover And Number Of Trades Conducted On-floor And Off-floor

Date 10/10/2005

Main Board + Trading Only Stocks Turnover (in HK$ Mil.) No. of Trades MM/YY

HKEx Discusses Derivative Warrants And Invites Feedback

Date 10/10/2005

Hong Kong Exchanges and Clearing Limited (HKEx) today (Monday, 10 October) publishes an article on derivative warrants (DW) that includes the Stock Exchange’s rules on DW, a summary of the recent discussion and debate on DW and the views of HKEx management on key issues raised recently in respect of DW.
EEX: OTC Clearing Service In France For The First Time With French Power Futures

Date 10/10/2005

With the introduction of the French Power Futures, the European Energy Exchange (EEX) does not only offer exchange trading in said French Power Futures to its trading participants but it also provides an OTC clearing service for over-the-counter futures transactions in France for the first time ever. In the context of this new OTC clearing service EEX co-operates with renowned brokers (GFI Group Inc., ICAP Energy AS, Prebon Marshall Yamane Limited, Spectron Group plc., TFS Tradition Financial Se
Deutsche Börse Repositions The Regulated Unofficial Market - International Positioning Of Regulated Unofficial Market As "Open Market" - Deutsche Börse Completes Primary Market Offering For Small And Medium-sized Companies - Ferscha: Entry Standard As Par

Date 10/10/2005

Deutsche Börse wants to internationally position and more strongly market the Regulated Unofficial Market of the FWB® Frankfurt Stock Exchange. The Regulated Unofficial Market in Frankfurt is already the largest market segment in Europe: around 4,200 bonds, and 52,000 warrants and certificates, as well as equities from more than 5,900 German and international companies are traded there. As part of the international positioning of the segment, Deutsche Börse is changing the name of the Regulated
Cairo & Alexandria Stock Exchanges Monthly Statistical Report September 2005

Date 10/10/2005

Listing Total number of listed companies on CASE in September 2005 decreased to 765 companies as opposed to 768 in the previous month. There were no new listed companies this month.
UK's Financial Services Authority: Former Directors Sentenced For Criminal Market Abuse

Date 07/10/2005

Carl Rigby, 43, the former Chairman and Chief Executive of software firm AIT, was sentenced today at Southwark Crown Court to 3½ years imprisonment and was disqualified from being a company director for 6 years. Gareth Bailey, 36, the firm's former Financial Director, received a sentence of 2 years imprisonment and was disqualified from being a company director for 4 years.