In this issue of CFWD we discuss:

  • SEC Chairman Schapiro Previews Upcoming Agenda Items, Including Shareholder Access to Proxies and Enhanced Disclosure
  • Seventh Circuit Affirms Dismissal of Securities Exchange Act,
    Section 14(a) Claim
  • New York Federal Court Dismisses Section 10(b) Claim
  • Electronic Blue Sheet Submissions to Change Under Options
    Symbology Initiative
  • NYSE Delays Operative Date for Riskless Principal Transactions
    Reporting Requirements
  • Options Exchanges File Plan Regarding Options Order Protection and Locked/Crossed Markets
  • Suits Filed in Connection with Madoff Feeder Funds
  • CFTC Establishes Risk Management Advisory Committee
  • OCC and OTS Release Quarterly Mortgage Metric Report