In this issue of CFWD we discuss:

  • NASDAQ Further Extends Suspension of Continued Listing Requirements
  • Comment Letter Submitted by the Society to the SEC Regarding NYSE Rule 452
  • Securities Fraud Involving Asset Purchase Agreement Adequately Pled
  • Contractual Right to Arbitration Forfeited by Refusal to Respond to Discovery Requests
  • Expansion of Options Exchanges’ $1 Strike Price Programs
  • Stock Exchanges Propose “Modified” Uptick Rule
  • ISE Publishes Proposal for Reforming Regulation of U.S. Financial Markets
  • Treasury Secretary Outlines Framework for Regulatory Reform
  • Treasury Secretary Calls for Greater Regulation of Hedge Funds
  • SEC Commissioner Walter discusses Enforcement Priorities
  • Treasury’s Regulatory Reform Would Regulate OTC Derivatives
  • CFTC Adopts Final Rules for ECM Significant Price Discovery Contracts
  • CFTC Permits CME to Clear Certain OTC Agricultural Swaps
  • CFTC Publishes Swap Dealer Hedge Exemption Concept Release
  • FinCEN Releases Report Regarding Mortgage Fraud
  • OTS Issues Guidance Regarding Regulation R
  • Treasury Unveils Public-Private Investment Program for Legacy Assets
  • FSA Publishes Consultation Paper on Remuneration
  • Guilty Verdict Obtained in First FSA Criminal Insider Dealing Case
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