In this issue of CFWD we discuss:

  • SEC to Act on Proxy Access
  • Fourth Circuit Reverses Dismissal of Section 10(b) Claim
  • Court Denies Motion to Dismiss Breach of Contract and Unjust
    Enrichment Claims
  • NYSE Arca Proposes Order Execution Rule Amendments
  • FINRA Proposes Rule Changes Regarding Public Offerings and
    Conflicts of Interest
  • FINRA Proposes Amendments to Rule on Options
  • SEC Chairman Calls for Authority Over Hedge Funds Beyond Registration
  • FBAR Filings Disclosing Foreign Accounts Due June 30; New Rules Broaden Scope of Those Who Must File and May Apply to Hedge Funds and U.S. Investment Managers
  • U.S. Treasury Proposes Regulatory Framework for OTC Derivatives
  • CFTC Requests Comment on OTC Clearing Petition
  • Geithner Signals Reopening of CPP TARP Application Process
  • FinCEN Proposes Amendments to Definition of “Money Services Businesses”
  • Department of Justice Announces More Aggressive Antimonopoly
    Enforcement Policy
  • UK Treasury Consults on More Effective Arrangements for Dealing With Investment Bank Failures

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