In this issue of CFWD we discuss:
- New York Stock Exchange Submits Broker Voting Reforms for Comment
- SEC Chairman Cox Says Backdating of Stock Option Grants is a “Serious Concern”
- Application of Short Sale Delivery Requirements to Non-Reporting OTC Equity Securities
- Amendments to Rule 6740 Relating to Submission of SEC Rule 15c2-11 Information to NASD
- ISE Proposes to Create New Category of Professional Customer
- NYSE Issues Information Memo Concerning Directed Brokerage Arrangements
- Second Circuit Finds SEC Rule Exempting Foreign Issuers from Section 14(a) Requirements to be Valid
- Antitrust Complaint Failed to Alleged any Specific Violation of the Sherman Act
- FinCEN Clarifies FCM Due Diligence Obligations in Give-Up Arrangements
- NFA Changes Exempt Pool Filing Requirements
