In this issue of CFWD we discuss:

  • SEC Commissioner Elisse Walter Provides Top Five List on Corporate Governance
  • New Guidance on “Say-on-Pay” Voting and CEO/CFO Certification Requirements for TARP Recipients
  • Arbitration Ordered Despite Party’s Participation in Litigation
  • District Court Dismisses Class Action Securities Lawsuit Against Pharmaceutical Company
  • FINRA Announces New Regulation NMS Trade Reporting Modifiers
  • SEC Approves Rule Change Regarding Trading Ahead of Customer Limit Order
  • NYSE and NYSE Alternext File Rule Changes Regarding DMMs
  • House Financial Services Committee and House Judiciary Committee Issue Details on Mortgage Cramdown Legislation
  • UDAP Legislation Re-Introduced in Senate; Senate Banking Committee Holds Hearing on Credit Cards
  • CFTC Proposes Amended Requirements for Segregated Funds Acknowledgment Letters
  • CFTC Proposes Amendments to CPO Reporting Requirements
  • CFTC Approves Amendments to NFA Forex Requirements
  • NFA Proposes Amendments to Alternative Net Capital and Security Deposit Requirements for FDMs
  • President’s Budget Outline Proposes to Tax Carried Interest as Ordinary Income
  • Three Bills Proposed in Connecticut General Assembly
  • FinCEN Releases Latest Yearly Mortgage Fraud Report
  • FDIC Closes $1.45 Billion Sale of Loans Through Private/Public Partnership Transactions
  • Fed Issues New Guidance to CPP Participants on Dividends and Capital Redemptions and Repurchases
  • FSA Publishes Market Watch 31
  • European Leaders Advocate Enhanced Regulation

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