In this issue of CFWD we discuss:
- SEC Proposes Amendments to Form S-11
- SEC Publishes Two Final Rules
- Proposed Rule Change Eliminating the Class Gate
- Elimination of Options Specialists’ Agency Responsibilities and Establishment of Amex Book Clerks
- Proposed Amex Rule Change Relating to Actions of Book Clerks
- NYSE Amends Rule 98 Guidelines
- Changes to Options Linkage Plan “Turn-Around” Times
- SEC Approves Delta Hedging Exemption Rule Change Pertaining to Permitted Class of Entities
- NYSE Rule Pertaining to Events of Extreme Market Volatility
- Federal Reserve Revises Home Mortgage Rules
- FSA Fines Norwich Union Life for Exposing Customers to Fraud
- UK and Italian Regulators Sign Cooperation Agreement
- Arbitrability of False Endorsement Claims to be Determined by Arbitrator
- Shareholder Could Not Maintain Lawsuit Against Other Shareholders