In this issue of CFWD we discuss:

  • SEC Issues Report on Modernizing the Disclosure System
  • Schapiro Approved as New SEC Chairman
  • SEC Must Organize and Label Document Productions in Civil Litigation
  • Defendant’s Arguments for Smaller Disgorgement Figure Rejected
  • NYSE Arca Reduces Order Exposure Period
  • BOX Proposes Changes to Rules Governing Doing Business With the Public
  • FINRA Proposes Limits to Forex Leverage Ratios
  • FINRA Issues Guidance Regarding Resales of Unregistered Securities
  • FDIC Adding Covered Bonds to Liquidity Guarantee Plan
  • CBO Issues Report on TARP Transactions
  • HUD Releases Announcement Regarding Ginnie Mae MBS in H4H
  • CFTC Proposes Amendments to “Public Director” Definition
  • CFTC Extends Conditions on Offering of Linked Contracts by FBOTs
  • CFTC and FinCEN Agree to Information Sharing
  • Michael V. Dunn Named Acting Chairman of CFTC
  • CFTC Approves Mini Futures Contracts on HSI and HSCEI for Trading by U.S. Persons
  • Liability for Late Transfer of 401(k) Contributions – Not a “Unique” Situation
  • Supreme Court Agrees to Hear Preemption Case
  • Treasury Issues Additional Executive Compensation Rules Under TARP
  • GAO Releases Framework for Reform of U.S. Financial Regulatory System
  • G30 Releases Recommendations for Financial System Reform
  • UK Company Fined for Disclosure Delay
  • FSA Publishes Results of MiFID Thematic Review

Related Professionals
Related Practices