In this issue of CFWD we discuss:

  • SEC Proposes Rules to Enhance Disclosure Regarding Corporate Governance and Clarify Proxy Rules
  • SEC Proposes Rules on Shareholder Advisory Vote on Executive Compensation for TARP Recipients
  • D.C. Circuit Upholds Lifetime Bar from Supervisory Positions
  • Late Service Provides Basis for Denial of Motion to Vacate Arbitration Award
  • Establishment of “Flash And Cancel” Order Type for Nasdaq OMX B
  • SEC Approves Change to NYSE Broker Discretionary Voting Rule
  • FINRA Developing New Qualification Examination for Investment
    Banking Professionals
  • CFTC Seeks Comment on Account Ownership and Control Report
  • U.S. Supreme Court Nullifies Long-Standing OCC Position on Preemption
  • Agencies Issue Interim Final Rule for Modified Mortgage Loans
  • New York Court of Appeals Finds Life Settlement Brokers Have a Fiduciary Duty to Their Clients
  • Supreme Court Will Hear Antitrust Case Involving NFL Licensing
  • IRS Can Levy Against Non-Transferable Stock Options
  • UK Short Selling Disclosure Regime Extended