In this issue of CFWD we discuss:

  • NYSE Proposes Permanent Reduction of Market Capitalization Threshold to $15 Million
  • Remand Appropriate Because Fraud Claim Did Not Necessarily Raise Federal Issue
  • Insider Stock Sales That Were Not Unusual Did Not Raise Inference of Scienter
  • FINRA Recommends Review of Municipal Securities Activities
  • FINRA Requests Comment on Rule Governing Investment Company Securities
  • FINRA Develops New Template for FTC Red Flags Rule
  • SEC Inspector General Proposes Recommendations to Improve SEC Oversight
  • European Commission Publishes Report on OTC Derivatives
  • CFTC Chairman Announces Hearings on Speculative Position Limits; Transparency Initiatives
  • FDIC Releases Proposed Policy Statement on Qualifications for Failed Bank Acquisitions
  • U.S. Treasury Names Asset Managers and Launches Legacy Securities Program
  • TALF Borrowers Request $5.4 Billion for ABS in July
  • New York Fed Publishes Revised TALF Terms and Conditions, FAQs and Documents
  • DOJ Antitrust Scrutiny Increasing
  • FSA Proposes Increased Fines
  • UK Government Issues Proposals for Reforming Financial Markets
  • Consultation on CESR's Proposal for a Pan-European Short Selling Disclosure Regime

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