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Standard & Poor’s Announces Addition To S&P Hedge Fund Index
Date 15/12/2004
– In an effort to continuously expand the representativeness of its family of Hedge Fund indices, Standard & Poor’s, the leading provider of independent investment research, indices and ratings, announced today that it would add an additional constituent to its S&P Hedge Fund Index (S&P HFI).
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Securities Industry Association: Industry Committed To Working With Sec On Market Structure Reform - SEC’s Thoroughness And Attention To Detail Key To Effective Reform
Date 15/12/2004
The Securities Industry Association today welcomed the Securities and Exchange Commission’s decision to republish for public comment its proposed rules under Regulation NMS. The association said it looked forward to reviewing the revised proposal.
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SEC Votes To Publish Reproposed Regulation NMS For Public Comment and to Adopt Asset-Backed Securities Rule Proposal
Date 15/12/2004
The Securities and Exchange Commission today voted to publish for public comment reproposed Regulation NMS, which would contain revisions of four interrelated proposals designed to modernize the regulatory structure of the U.S. equity markets. Regulation NMS was originally proposed for public comment in February 2004 (www.sec.gov/rules/proposed/34-49325.htm). The Commission extended the comment period and issued a supplemental release
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SEC Open Meeting Wednesday, December 15, 2004 - Item 1: Asset-Backed Securities - Item 2: Regulation NMS - Audio Archive
Date 15/12/2004
Item 1: Asset-Backed Securities The Commission will consider whether to adopt new and amended rules and forms to address the registration, disclosure and reporting requirements for asset-backed securities under the Securities Act of 1933 and the Securities Exchange Act of 1934. The new and amended rules and forms relate to four primary regulatory areas: Securities Act registration; disclosure requirements; communications during the offering process; and ongoing reporting under the Exc
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Revised Allocations To Oslo Børs Liquidity Categories
Date 15/12/2004
Oslo Børs will revise the allocation of companies to liquidity categories with effect from Friday 17 December on the basis of market activity in the period 1 June-30 November 2004.
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Quarterly Rebalancing For S&P Global 1200, S&P Global 100, S&P Europe 350, S&P Latin America 40, And S&P/ASX 50 Indices
Date 15/12/2004
Standard & Poor's, as part of the quarterly rebalancing, will change the shares outstanding for the S&P Global 100, S&P Europe 350, S&P Asia 50, S&P ASX 50, and the S&P Latin America 40 Indices. In addition, Investible Weight Factors for some constituents in the S&P Europe 350, S&P/ASX 50 and S&P Global 100 will also be updated effective after the close of business Friday, December 17, 2004.
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OMX’s Comment On Today’s Article In Financial Times Germany
Date 15/12/2004
With reference to today’s article in Financial Times Germany, OMX would like to clarify the following: OMX has not made any comments concerning Deutsche Börse’s offer for London Stock Exchange, or any speculations regarding London Stock Exchange. The quotes from OMX refer to OMX’s strategy regarding a Nordic Baltic marketplace.
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NZX And ASX Perpetual Link Up To Deliver Leading Edge Registry Services To New Zealand
Date 15/12/2004
New Zealand Exchange Limited (NZX) and ASX Perpetual Registrars Limited (ASX Perpetual) of Australia today announced that they have formed a joint venture to offer full registry and employee share plan administration services to the New Zealand market.
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NASD Orders First Command To Pay $12 Million For Misleading Statements In Sales Of Systematic Investment Plans To Military Personnel - Firm To Pay Restitution, Fund Investor Education Program For Military Community
Date 15/12/2004
NASD announced today that it has censured and fined First Command Financial Planning Inc., a Fort Worth, TX broker-dealer, $12 million for making misleading statements and omitting important information when selling mutual fund investments with up-front sales charges of up to 50 percent through a monthly installment method known as a “Systematic Investment Plan.”
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NASD Issues Warning On Systematic Investment Plans
Date 15/12/2004
NASD today warned investors – especially those serving in the armed forces – about the costs and risks of investment vehicles that require monthly payments and carry high, up-front costs. NASD’s Investor Alert, Systematic Investment Plans – Educate Yourself Before You Enlist, follows an NASD enforcement action against a brokerage firm selling these plans to military pers
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