In this issue of CFWD we discuss:

  • SEC Issues Updated Compliance and Disclosure Interpretations for Rules Under the Securities Act
  • NYSE’S Global Market Capitalization Standard for Listed Companies Temporarily Reduced to $15 Million
  • Court Dismisses Section 10(b) Claim Based Upon Acquisition of Shares Given As Part of Settlement
  • Court Grants SEC’s Request for Permanent Injunction, Disgorgement and
    Civil Penalty
  • Delaware Supreme Court Confirms Fiduciary Duties of Officers
  • NASDAQ Seeks to Modify Sponsored Access Requirements
  • FINRA Amends Trade Reporting Rules
  • ISE Redefines Complex Orders
  • Mortgage Bankruptcy Legislation Approved by House Judiciary Committee
  • Treasury to Post TARP Investment Contracts
  • Barney Frank Introduces New Bill to Promote Bank Liquidity and Lending
  • Proposed Hedge Fund Transparency Act
  • FDIC Proposes Regulatory Change in Interest Rate Restrictions on Institutions That Are Less than Well-Capitalized
  • Chairman of the FSA Sets Out Regulatory Reform Agenda
  • Entertainment Rights plc Fined for Disclosure Delays
  • FSA Consults on Use of Firm Commissioned Reports
  • FSA Bans Former Executives of Pacific Continental Securities UK Limited

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