21.   Robert Carucci, of Staten Island, N.Y., a floor broker.

22.   Some had feared dual trading would invite abuse as the floor broker could take advantage of knowledge of customer trades by trading ahead of those orders.

23.   Soule, one of its brokers, was barred from soliciting futures orders for three months and is subject to closer supervision when acting as a floor broker.

24.   Stock exchange floor brokers in their blue, maroon, green or black jackets slouch outside the building smoking or talking on cell phones and ignore the pennies.

25.   The Commodity Futures Trading Commission accused three floor brokers at the Chicago Mercantile Exchange of defrauding investors trading in live cattle futures.

26.   The government had already won three guilty pleas in its case against New York Stock Exchange floor brokers, and it appeared to be substantially widening the case.

27.   The exchange still plans to add hand-held order devices to allow floor brokers to electronically send their orders to the specialists books.

28.   The four floor brokers face zero to six months in jail.

29.   The mismatch of trading systems and the threat that poses to Amex floor brokers may end up being the biggest obstacle to the merger.

30.   There are detailed explanations of the auction process, the concept of dual trading and the role of floor brokers.