In this issue of CFWD we discuss:
- Amendments to Delaware Corporate Law Regarding Shareholder Proxy Access
- New Director of SEC Division of Corporation Finance Named
- Purchases of Condominiums Were Not Investment Contracts Under the Federal Securities Laws
- Third Circuit Reinstates Conviction for Conspiracy to Commit Securities Fraud
- FINRA Filing Makes Changes to Form U4 and U5
- FINRA Adopts Limited Exception to Trade Reporting Rules
- SEC Approves Three Rules for the Consolidated FINRA Rulebook
- NASDAQ OMX PHLX Proposes Enhancements to Electronic Trading System
- CFTC Adopts Procedures for Confidential Treatment Requests
- CFTC Approves New NFA Rules Regarding Forex Orders
- OTS Issues Mortgage Scam Alert
- FRBNY Responds to Congressional Oversight Panel Inquiry and Promises to Release Guidance on TALF Investment Funds
- IRS Issues REMIC Guidance on Home Affordable Modification Program
Related Professionals
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Partner and Deputy General Counsel+1.202.625.3541 -
Partner and Deputy General Counsel+1.212.940.6581 -
Partner and Global Chair, Financial Markets and Funds Department+1.312.902.5212+1.212.940.6544
Washington, DC
