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  • HSBC Bank Settles SEC Charges And Agrees To Pay $10.5 Million

    Date 19/09/2007

    The Securities and Exchange Commission today announced settled enforcement proceedings against HSBC Bank USA, N.A., which will pay a $10 million civil penalty and approximately $500,000 in disgorgement for allowing its name and logo to be used in connection with a Florida-based offering fraud by Pension Fund of America, L.C. (Pension Fund), that was directed primarily at Central and South American investors.

  • Nyse Arca Options Penny Pilot Outperforms Pricing Competition Nationally - Exclusively Displays The Best Bid And Offer Four Times More Often Than Any Other Exchange

    Date 19/09/2007

    NYSE Euronext (NYSE Euronext: NYX) today announced that, according to the Transaction Auditing Group, Inc. (TAG), NYSE Arca Options has consistently offered the best price four times more often than any other market center for options that are included in the SEC’s penny pilot program. Across all 13 pilot securities, NYSE Arca Options was, on average, alone at the National Best Bid 6.3% of the time and alone at the National Best Offer 6.2% of the time. Additionally, NYSE Arca displayed pri

  • NYMEX Comments On CFTC Hearing On Oversight Of Exchanges, ECMs

    Date 19/09/2007

    The New York Mercantile Exchange, Inc. (NYMEX) commends the CFTC for seeking to obtain industry input at its public hearing today on unregulated exempt commercial markets or ECMs. Over the last few months, a broad and growing consensus has developed that certain products traded on ECMs and also on regulated futures exchanges are tightly linked and effectively result in one broader derivatives market. This new reality creates serious regulatory problems both for regulated exchanges as well as

  • SEC: Evergreen Investment Management Company And Affiliates To Pay $32.5 Million To Settle Market Timing Violations - Former Officer To Pay $150,000

    Date 19/09/2007

    The Securities and Exchange Commission today announced settled enforcement actions against registered investment adviser Evergreen Investment Management Company (Evergreen), three of its affiliates, and a former officer, alleging that, contrary to prospectus disclosures, they allowed certain shareholders to market time and engage in excessive exchange activity in the Evergreen mutual fund complex.

  • Doha Securities Market's Trading Timings During Holy Month (RAMADAN)

    Date 19/09/2007

    Doha Securities Market (DSM) management announced the trading timings for the holy month of Ramadan. The timings will remain as it is between 10:00 am to 12:30 pm. The pre-open period will be from 9:30 am to 10:00 am.

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