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
Communications - 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
Executives - Federal Court Finds No Private Right of Action to Assert SOX §304
Claims - CFTC Reauthorization Bill Approved by House Agriculture Committee
- Joint Audit Committee Issues Reminder Regarding Investment Policies
- Circuit Court Declines Stay of Amaranth Fine
