Corporate and Financial Weekly Digest - Volume II, Issue 16

In this issue of CFWD we discuss:

- SEC Considers Arbitration Policy
- Definition of “Covered Securities” under Rule 146(b) of the Securities Act is Amended
- NYSE Rescinds Series 12 Examination
- NYSE Proposes Modified Definition of Program Trading and Reporting
- Proposed Model Privacy Form
- FDIC Issues Policy on Identity Theft
- Securities Fraud Claims Dismissed as Time-Barred
- Derivative Action Dismissed for Failure to Plead “Demand Futility”
- CFTC and FinCEN Issue Guidance on Application of CIP Rules to Give-Up Arrangements
- CFTC Letter Regarding Natural Gas Markets Made Public
- Effective Date Set for NFA Interpretive Notice Regarding FDM Electronic Trading Systems