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NZX Finalises NZSX Index Family

Date 16/10/2003

New Zealand Exchange Limited (NZX) wishes to advise that it has finalised the makeup and structure of the remaining NZSX indices, the NZSX 10, the NZSX MidCap, the NZSX SCI (Small Cap) and the NZSX All.
NYSE Informs Specialist Firms Of Planned Disciplinary Action - Systems Software Being Implemented To Deter Improper Trading

Date 16/10/2003

The New York Stock Exchange Enforcement Division has informed five specialist firms that it has determined to bring disciplinary action against them. The actions will allege failure to comply with fundamental Exchange auction market rules and policies and applicable securities regulations during a three-year period from Jan. 1, 2000 through Dec. 31, 2002. The Exchange will also seek substantial fines and improvements in the self-monitoring and compliance practices of specialist firms, as well a
NYSE Holds Media Briefing Conference Call Regarding Planned Disciplinary Actions Against Five Specialist Firms

Date 16/10/2003

Catherine R. Kinney, executive vice chairman, president and Co-COO, Edward Kwalwasser, group executive vice president of Regulation, and David Doherty, executive vice president of Enforcement answer questions regarding planned disciplinary actions to be brought against five specialist firms.
New York AG And SEC Bring Criminal And Civil Actions Against Mutual Fund Executive

Date 16/10/2003

New York State Attorney General Eliot Spitzer and the Securities and Exchange Commission today announced the arrest, conviction, and lifetime industry bar of James P. Connelly, Jr., former Vice Chairman and Chief Mutual Fund Officer of Fred Alger & Company, Inc., a prominent mutual fund firm.
National Stock Exchange Of Lithuania Third Quarter 2003 Bulletin

Date 16/10/2003

Please click here for the National Stock Exchange of Lithuania bulletin for the third quarter of 2003.

NASDAQ President And CEO Robert Greifeld Speech On Market Structure, Competition And The Greater Good For Investors

Date 16/10/2003

NASDAQ President and CEO Robert Greifeld spoke yesterday at the National Press Club Morning Newsmaker on market structure, competition and the greater good for investors
Nasdaq Market Data Statistics - September 2003

Date 16/10/2003

Please click here to view Nasdaq market data statistics for September 2003.
NASDAQ CEO Distributes White Paper At The National Press Club:"Ensuring Competitive American Stock Markets"

Date 16/10/2003

Please click here for White Paper distributed by the NASDAQ CEO at The National Press Club:"Ensuring Competitive American Stock Markets".
IOSCO Strengthens International Cooperation To Fight Illegal Securities And Derivatives Activities

Date 16/10/2003

The International Organization of Securities Commissions (IOSCO) highlighted today at its 2003 Annual Conference in Seoul, South Korea, the IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (IOSCO MOU), the first global information-sharing arrangement among securities regulators. The IOSCO MOU sets a new international benchmark for cooperation critical to combating violations of securities and derivatives laws. It expresses a c
HKEx Appoints Head Of Clearing Business Unit And Chief Executive Of Hong Kong Securities Clearing Company

Date 16/10/2003

Hong Kong Exchanges and Clearing Limited (HKEx) has appointed Stewart Shing to be head of its clearing business unit, and chief executive of Hong Kong Securities Clearing Company Limited (HKSCC). Mr Shing will take up his new appointment on 15 December 2003.