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Corporate and Financial Weekly Digest - Volume II, Issue 34

Newsletter | September 7, 2007

In this issue of CFWD we discuss:

- SEC Critiques Companies’ Executive Compensation Disclosure  
- Compliance Date Extended for New Program Trading
  Reporting Obligations
- Expansion of Delta Hedging Position Limit Exemption Proposed
- FINRA Proposes Amended Price Improvement Requirements
- Amex Establishes Directed Order Program
- Extension and Expansion of Options Penny Pilot Proposed
- Statement Issued on Loss Mitigation Strategies for Servicers
  of Residential Mortgages
- Bulletin Issued to National Banks Regarding Political
  Contributions
- SEC Met Burden for Contempt Order Against Defendants
- Issue of Fact Regarding Scienter Prevented Grant of Summary
  Judgment to Defendants  
- Application of the Correspondent Account Rule to OTC Executing
  Dealers
- Amendments Made to NFA Interpretive Notice Regarding Enhanced
  Supervisory Requirements
- No-Action Relief Issued on Regulation 1.65 (Transfer of Accounts)
- DCIO Issues Advisory on Forex Transactions

 

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