In this issue of CFWD we discuss:
- NYSE Adopts Recommendation to Eliminate Broker Voting in 2008
- FDIC Announces Final Rule Related to One-Time Assessment
Credit
- NASD Extends Date to Complete Firm-Element Continuing
Education to Qualify to Engage in a Security Futures Business
- NASD Proposes Change to Enhance Brut Directed Cross Order
- ISE, NYSE Arca Propose Penny Pilot Program in Options Trading
- HMRC Consults on Investment Manager Exemption
- Seventh Circuit Denies Petition to Review S.E.C. Cease-and-Desist
Order Against CFO
- Equitable Estoppel and Waiver Survive as Defenses in SEC Suit