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SEC Halts $22 Million Fraud In Southern California Targeting Retirement Funds

Date 10/08/2006

The Securities and Exchange Commission today filed an emergency action to halt an ongoing securities fraud targeted at retirement funds. The fraud has raised over $22 million to date. Named in the Commission’s complaint are Jon W. James, age 29 and a resident of Manhattan Beach, Calif., and several companies that he controls, including Jon W. James & Associates (JWJA), based in El Segundo, Calif. The Honorable Florence-Marie Cooper, United States District Judge for the Central District of Califo
Program Trading Averaged 30.4 Percent Of NYSE Volume During July 31-Aug. 4

Date 10/08/2006

The New York Stock Exchange today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for July 31-Aug. 4.
NYMEX Sets Natural Gas Futures Open Interest Record

Date 10/08/2006

The New York Mercantile Exchange, Inc., announced that its natural gas futures contract set a record yesterday when open interest reached 948,193 contracts, exceeding the previous record of 944,677 contracts set on August 8.
NASD Orders Citigroup To Pay Over $1.1 Million For Failing To Prevent Brokers' Submission Of False Information To Mutual Funds - Brokers Improperly Obtained Mutual Fund Sales Load Waivers By Falsely Claiming Customers Were Disabled - Even Hedge Funds

Date 10/08/2006

NASD announced today that it has fined Citigroup Global Markets Inc. $400,000 for supervisory and recordkeeping violations in connection with a ploy by more than 100 of its brokers to improperly obtain waivers of mutual fund sales charges by falsely claiming that their customers were disabled. The firm was also ordered to pay $715,000 in restitution to the affected mutual fund entities.
Ljubljana Stock Exchange Statistical Report - July 2006

Date 10/08/2006

Click here to download the Ljubljana Stock Exchange monthly statistical report for July 2006.

Industry View: The Shifting Sands Of The Trading Landscape

Date 10/08/2006

Click here to download an industry view on the changing role of the stock exchange from Jim Gollan, CEO at virt-x. Exchanges are learning the effect of changes in the market and the need to adapt and evolve their services to maintain competitive advantage and avoid complacency in thinking they have a ‘divine right’ to liquidity in their home market.
HKFE Announces Revised Margins for China Mobile Futures

Date 10/08/2006

Hong Kong Futures Exchange Limited (HKFE), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEx), has announced that with effect from the commencement of trading on Monday, 14 August 2006, the minimum margins to be collected by an Exchange Participant from its clients in respect of their dealings in the following futures contract will be as outlined in the table below. The adjustments are based on the clearing company's normal procedures and standard margining methodology.
Company Share Change In The S&P/CITIC 300 Index

Date 10/08/2006

S&P/CITIC Index Information Services Co., Ltd. will make the following change in the S&P/CITIC 300 effective after the close of trading Friday August 11, 2006.
CESR Extends The Deadline For Comments To Its Questionnaire On The Day To Day Application Of The IOSCO Code By The Credit Rating Agencies

Date 10/08/2006

CESR published on 6 July a questionnaire (Ref. CESR/06-312) addressed to all market participants which will enable CESR to gather information on the day-to-day application of the Credit Rating Agencies (CRAs) codes in practice. The deadline for comments will be 15 September 2006 and if specifically requested, respondents may be able to submit their responses on a confidential basis.
CBOT Labor Day Holiday Trading Schedule

Date 10/08/2006

The Chicago Board of Trade (CBOT®) has established the following trading schedule in connection with the Labor Day holiday: Friday, September 1 Open auction: Financial contracts will close at 12:00 p.m. All other open auction contracts (Agricultural and Stock Index) will close at their normal times. Electronic e-cbot trading: Dow/AIG Index contracts will close at 12:00 p.m. Metals contracts will close a