In this issue of CFWD we discuss:

  • New Rules Governing Securities Trading by SEC Personnel
  • Court Denies Motion to Dismiss Claims Against “Winners” of Ponzi Scheme
  • Investors in Municipal Bonds Sufficiently Pleaded Scienter
  • FINRA Proposes New Customer Account Statement Rule for the
    Consolidated Rulebook
  • Amendment to Rule Governing Trading Differentials and Expansion of
    Penny Pilot
  • Connecticut Senate Approves Disclosure Requirements
  • CFTC Requests Comment on Changes to Regulations on Investment of Customer Funds
  • NFA Seeks CFTC Approval on Prohibition of Pool Loans to Commodity
    Pool Operators
  • OTS Releases Letter Regarding Allowance for Loan and Lease Losses
  • President Obama Signs PPIP Improvement and Oversight Act of 2009
  • Supreme Court Extends Antitrust Ruling
  • FSA Bans and Fines Trader for Unauthorized “Pre-Hedging”

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