Skip to main content

Exchange fever

Why buy a stock when you can buy the whole exchange? Well, now you can. With an increasing number of stock and commodity exchanges going public in recent years, a craze for shares in financial exchanges has developed, giving investors a chance to own shares in companies that were once member-owned firms.

Lately a wave of consolidation has swept over the financial exchanges, with the big news this week being the proposed merger of Nasdaq and the London Stock Exchange (LSE) and the possibility of the NYSE playing a role in the unfolding drama. Deutsche Boerse is mulling over a merger with Euronext, while both firms have in turn expressed interest in the LSE. Meanwhile, New York Mercantile Exchange (NYMEX) shareholders have approved a private equity group's $170 million dollars bid for a 10% stake in their firm. What's more, even though the deal values all of NYMEX at $1.7 billion, the value of the exchange could be quoted higher as it nears a public offering, according to a Financial Times report.

While enthusiasm for the various merger deals is evident, some are questioning the benefits of consolidation. The Lex column of Wednesday's Financial Times voiced a doubtful opinion on the merits of such globalized exchange mergers, and the Telegraph.co.uk reports that LSE brokers want a guarantee that the SEC will not interfere with LSE listed firms. Angela Knight, CEO of the broker group Apcims, believes that a guarantee is necessary to protect UK firms against creeping regulation from abroad.

Culture clash and regulatory burdens could have a stifling effect on the public markets. Listing options for companies could narrow if Sarbanes-Oxley style legislation spreads to overseas marketplaces. Were Nasdaq to gain control of the LSE, they would get access to its Alternative Investment Market (AIM), an exchange that has become increasingly attractive to smaller firms unable to bear the regulatory burdens and costs associated with a US listing. The AIM has become something of a destination point for smaller resource companies and emerging companies from across the globe; observers hope that an acquirer would realize the value of its unique attractions and work to keep them in place.

The effect that such onerous legislation may have on smaller public companies is not the exclusive concern of overseas market professionals. Eliot Spitzer has now joined the chorus of critics that say Sarbanes-Oxley has overstepped its bounds and creates "an unbelievable burden for small companies." Amazingly, this same criticism has been leveled by Representative Michael Oxley, co-author of the legislation. Oxley has even urged the SEC to roll back some of the burdens facing smaller companies.

It just goes to show that the pendulum swings both ways. The same might be said in reference to the markets. To avoid disruptive oscillations in their business, the exchanges might temper their ambitions and proceed with calm judgement and austerity.

Popular posts from this blog

Clean Money - John Rubino: Book review

Clean Money by John Rubino 274 pages. Hoboken, New Jersey John Wiley & Sons. 2009. 1st Edition. The bouyant stock market environment of the past several years is gone, and the financial wreckage of 2008 is still sharp in our minds as a new year starts to unfold. Given the recent across-the-board-declines in global stock markets (and most asset classes) that have left many investors shell-shocked, you might wonder if there is any good reason to consider the merits of a hot new investment theme, such as clean energy. However, we shouldn't be too hasty to write off all future stock investments. After all, the market declines of 2008 may continue into 2009, but they may also leave interesting investment opportunities in their wake. Which brings us to the subject of this review. John Rubino, author and editor of GreenStockInvesting.com , recently released a new book on renewable energy and clean-tech investing entitled, Clean Money: Picking Winners in the Green Tech Boom . In Clean ...

Slate profiles Victor Niederhoffer

Slate's recent profile of writer/speculator, Vic Niederhoffer has been getting some attention from traders and finance types in recent days. I thought we'd take a look at it here too, to offer up some possible educational value from Vic's experiences with trading and loss. Here's an excerpt from Slate's profile of Victor Niederhoffer : " I've enjoyed getting your e-mails. It sounds like you've thought a lot about being wrong. Well, the reason you contacted me, to call a spade a spade, is that I'm sort of infamous for having made a big, notorious, terrible error not once but twice in my market career. Let's talk about those errors. The first was your investment in the Thai baht, which pretty much wiped you out when the Thai stock market crashed in 1997. I made so many errors there it's pathetic. I made one of my favorite errors: "The mouse with one hole is quickly cornered." That is key. There are certain decisions you make in li...

Seth Klarman: Margin of Safety (pdf)

Welcome, readers! Signup for free email updates at the Finance Trends Newsletter . Update: PDF links removed due to DMCA notice. Please see our extensive Klarman book notes below. New visitors, please check the Finance Trends home page for all new posts. Here's something for anyone who has been trying to get a look at Seth Klarman's now famous, and out of print, 1991 investment book, Margin of Safety .  My knowledge of value investing is pretty much limited to what I've read in Ben Graham's The Intelligent Investor (the book which originally popularized the investment concept of a "Margin of Safety"), so check out the wisdom from Seth Klarman and other investing greats in our related posts below. You can also go straight to Ronald Redfield's Margin of Safety book notes .    Related posts: 1. Seth Klarman interviews and Margin of Safety notes     2. Seth Klarman: Lessons from 2008 3. Investing Lessons from Sir John Templeton 4. ...