In this issue of CFWD we discuss:

  • SEC Votes to Codify Longstanding Policy on Shareholder
    Proposals on Election Procedures
  • SEC Adopts Proxy Rule Amendments Encouraging Electronic
    Shareholder Forums
  • FINRA Proposes Guidelines on International Prime Brokerage
  • NYSE Proposes NYSE MatchPoint Automated Order Execution
  • SEC Approves Cross Listing of Options Not Meeting Original
    Listing Requirements
  • Options Exchanges Propose Allocation of Regulatory
    Responsibilities
  • SEC Proposes Mutual Fund Disclosure and Prospectus Delivery
    Innovations
  • FDIC-Insured Institutions See Net Income Fall $28.7 Billion
    in 3rd Quarter
  • FSA Fines Bank for Systems and Controls Failings
  • FSA Review of Portfolio Valuation Services
  • BVCA Private Equity Guidelines and Recommendations Published
  • IOSCO Publishes Reports on Hedge Fund Valuations and Soft
    Commissions
  • CESR Reports on EU Market Abuse Powers
  • Heightened Pleading Requirement Applies to Section 14(a) Claims
  • Condominium Purchase Agreements Not “Investment Contracts”
    Under Securities Law
  • CFTC Proposes Revisions to Federal Speculative Position Limits
    and Exemptions
  • CFTC Affirms Use of Multi-Columnar Financial Statements by CPO
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