In this issue of CFWD we discuss:

  • New SEC Chairman Outlines Enforcement Changes and Other Agenda Items
  • First Circuit Sets Standard for Whistleblower Provision of Sarbanes-Oxley
  • Investment Advisers Act Has a One/Three-Year Statute of Limitations
  • CBOE Extends Temporary Rule Allowing for Cabinet Trades Below
    $1 per Contract
  • SEC Approves New CBSX Order Type
  • Changes to FINRA Rules Regarding Supervision of Market Letters
  • NYSE And NYSE Arca Submit Market Data Rule Filings
  • ISE Gives Priority to Certain Non-Broker-Dealer Orders
  • Treasury Introduces Housing Support and Foreclosure Support Measures in Financial Stability Plan
  • CFTC Staff Issues Recordkeeping Advisory
  • Treasury’s Financial Stability Plan May Create Investment Opportunities
    for Funds
  • TARP Inspector General Issues Inquiry Letters
  • Representative Peterson Introduces the Derivatives Markets Transparency and Accountability Act of 2009
  • FSA Consults on Short Selling Regime Changes