In this issue of CFWD we discuss:

  • SEC Approves Rule Providing for Expedited and Free Access to Ongoing Disclosures by Municipal Bond Issuers
  • SEC to Consider XBRL Filing Requirement
  • Sarbanes-Oxley Whistleblower Protection Requires Definite and Specific Allegations
  • Securities Fraud Claims Reinstated Against Officers of Underwriter
  • FINRA Requests Comment on Proposed Rule Addressing the Circulation of Rumors
  • NYSE Eliminates Sub-Penny Halt Trading Condition
  • FINRA Issues Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
  • SEC Staff Emphasizes Importance of Compliance During Times of Financial Crisis
  • Congressional Oversight Panel Criticizes Treasury’s Use of TARP Funds
  • Treasury Assistant Secretary Kashkari Delivers Remarks and Testifies on TARP Capital Purchase Program
  • CFTC Seeks Expanded Authority Over Exempt Commercial Markets
  • CFTC Exempts BNP Paribas from Position Limits Following Fortis Acquisition
  • OTS Issues New Assessment Schedule for the Nation's Savings Associations
  • OTS Disallows Proposed By-Law
  • LSE Publicly Censures AIM Listed Company
  • FSA Amends Enforcement Guide
  • High Court Confirms FSA Powers to Prosecute Insider Trading

Related Professionals
Related Practices