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  • SEC: Enron Corp. Registers As Public Utility Holding Company

    Date 10/03/2004

    On March 9, 2004, Enron Corp. registered with the U.S. Securities and Exchange Commission making it a registered holding company under the Public Utility Holding Company Act of 1935. As a registered holding company, Enron and its subsidiaries became subject to the Commission's jurisdiction under the Public Utility Holding Company Act of 1935. Subsequently, the Commission approved three orders regarding Enron and its subsidiaries. One order, Holding Company Act Release Number 35-27810, approves t

  • SEC: During A Pending Investigation - Firm Is Censured And Pays A $10 Million Penalty To Settle Charges

    Date 10/03/2004

    The Securities and Exchange Commission announced today a settled enforcement action against Banc of America Securities LLC (BAS) for violations of the recordkeeping and access requirements of the securities laws. The violations occurred during a pending Commission investigation that is seeking to determine whether, among other things, BAS engaged in improper trading of securities prior to the firm's issuance of research concerning su

  • Oslo Børs Buys Shares In The Norwegian Central Securities Depository (VPS)

    Date 10/03/2004

    Oslo Børs has accepted an invitation to buy 6.54% of the shares in VPS Holding ASA at a price of NOK 150 per share. The total cost will be NOK 49.1 million.

  • NZX To Develop Central Clearing House To Ensure Market Integrity

    Date 10/03/2004

    New Zealand Limited (NZX) is proposing to develop a Central Clearing House (CCH) to better protect and bolster both the robustness and integrity of New Zealand 's securities markets. NZX is seeking comment on its proposal from market participants and interested parties.

  • NZX Rules Update

    Date 10/03/2004

    NZX would like to announce that it has submitted the revised NZX Discipline Rules and miscellaneous changes to the NZX Listing Rules to the Minister of Commerce under the disallowance process in Part 2B of the Securities Markets Act 1988. This follows an extensive period of consultation with market participants and considerable redrafting on the part of NZX.

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