In this issue of CFWD we discuss:

  • SEC Amends Eligibility Requirements for Forms S-3 and F-3
  • SEC Issues Final Rule Amending Rules 144 and 145
  • SEC Announces Electronic Filing and Revisions of Form D
  • Chairman Cox Proposes Additional SOX 404(b) Delay
  • NYSE Arca Proposes Changes to Index-Linked Security
    Listing Rules
  • SEC Approves NYSE Arca Equity Listing Index-Linked
    Securities Based on Closed End and ETF Funds
  • NASDAQ to List and Trade Commodity-Linked Securities
  • FINRA Issues Guidance on Review and Supervision of Electronic
  • Federal Reserve Releases Study Regarding Noncash Payments   
  • FSA Issues Policy Statement on Listing Investment Entities
  • FSA Launches Consultation on Changes to Close Links Reporting
  • FSA Publishes Regulatory Simplification Plan
  • FSA and Treasury Issue Joint Discussion Paper on EU Regulation
    of Commodity and Exotic Derivatives
  • District Court Dismisses Securities Fraud Claim Against Company’s
  • Federal Court Finds No Private Right of Action to Assert SOX §304
  • CFTC Reauthorization Bill Approved by House Agriculture Committee
  • Joint Audit Committee Issues Reminder Regarding Investment Policies
  • Circuit Court Declines Stay of Amaranth Fine