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  • The Kosdaq Stock Market Tightens Listing Requirements

    Date 22/01/2002

    The Kosdaq Committee is tightening listing requirements to keep out shaky start-ups. However, firms in the biotechnology and environmental industries will face fewer listing limits in accordance with measures to cultivate such companies. The new measures, "2002 Kosdaq Market Operational Guidelines," were announced Monday, January 21, by the committee.

  • Statement Of Mary Schapiro On Announcement Of CSFB Action

    Date 22/01/2002

    Thank you, Steve. First let me recognize and thank Wayne Carlin and his staff at the SEC's Northeast Regional Office for their excellent work in this investigation. Given all the dislocation that office faced after September 11, they deserve special credit here today. I also want to salute the staff of the NASD for working so hard and so well to bring this matter to a prompt and just conclusion.

  • SEC Issues Statement On Disclosure Requirements For Public

    Date 22/01/2002

    The Securities and Exchange Commission today issued a statement setting forth certain of its views regarding disclosure that should be considered by public companies while preparing annual reports for the year recently ended. The statement is posted on the Commission's web page www.sec.gov under Regulatory Actions, Other Commission Orders, Notices, and Information. The Commission's statement reminds public companies of existing disclosure requirements and suggests steps companies, domestic and

  • SEC Charges CSFB With Abusive IPO Allocation Practices - CSFB Will Pay $100 Million To Settle SEC And NASD Actions - Millions In IPO Profits Extracted From Customers In Exchange For Allocations In "Hot" Deals

    Date 22/01/2002

    The Securities and Exchange Commission today filed charges against Credit Suisse First Boston Corporation (CSFB), the New York-based broker-dealer and investment bank, for abusive practices relating to the allocation of stock in "hot" initial public offerings (IPOs).

  • New York Stock Exchange Issues Monthly Short Interest Report

    Date 22/01/2002

    The New York Stock Exchange today reported short interest as of the close of business on the settlement date of Jan. 15, 2002, reflecting transactions through Jan. 10, 2002.

  • Nasdaq Names Bill Harts Executive Vice President, Corporate Strategy

    Date 22/01/2002

    The Nasdaq Stock Market®, Inc., today announced that Bill Harts has been named Executive Vice President, Corporate Strategy, for the organization. He will be responsible for initiating and developing strategic opportunities and initiatives for The Nasdaq Stock Market, and will report directly to Wick Simmons, Nasdaq Chairman and Chief Executive Officer.

  • NASD Regulation Charges Credit Suisse First Boston With Siphoning Tens Of Millions Of Dollars Of Customers' Profits In Exchange For "Hot" IPO Shares - Firm To Pay $100 Million To Be Split Between The NASD And SEC - Record Fine For NASD

    Date 22/01/2002

    NASD Regulation, Inc., announced today that it censured Credit Suisse First Boston Corporation (CSFB) and directed it to pay $50 million in monetary sanctions for taking millions of dollars from customers in inflated commissions in exchange for allocations of "hot" Initial Public Offerings (IPOs). The inflated commissions essentially amounted to a "profit sharing" arrangement with CSFB as the IPO shares climbed in the secondary market. As part of the settlement, CSFB will also pay $50 million to

  • CMS WebView plc And globalCOAL Launch A New Coal Market Data Service

    Date 22/01/2002

    CMS WebView plc (CMS) and globalCOAL Limited, the premier e-marketplace facilitating the trading of coal and offering coal related services, are pleased to announce the launch of a coal pricing information (data) service.

  • CBOE: QQQ Position Limits Increased At CBOE Effective Immediately

    Date 22/01/2002

    The Chicago Board Options Exchange® (CBOE®), the world's largest options exchange, today announced that it has increased position and exercise limits for options on the Nasdaq-100 Index Tracking StockSM (ticker symbol QQQ). Effective immediately, the standard position and exercise limit in the QQQ option class will be 300,000 contracts on either side of the market, increased from 75,000 contracts on either side. The changes were approved by the Securities and Exchange Commission (SEC) on Friday,

  • Standard & Poor's Announces Changes In S&P Canadian Indices - S&P/CDNX Composite Index

    Date 21/01/2002

    Standard & Poor's will make the following changes in the S&P/CDNX Composite Index: Net Nanny Software International Inc. (CDNX: NNS) will be removed from the S&P/CDNX Composite Index after the close of trading on Monday, January 21, 2002. The shares of the company have been suspended from trading by the Alberta Securities Commission for failing to file financial statements. Hyduke Resources Ltd. (CDNX: HYD) has changed it's name to Hyduke Energy Services Inc. This change is e

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