In this issue of CFWD we discuss:

  • SEC to Act on Three of Six Small Business Initiatives;
    Other Corp. Fin. Proposals
  • Amendments to CBOE Complex Order Rule
    NYSE Rescinds Rule 80A
  • Federal Agencies to Require Identity Theft Prevention
  • Policy Statement Issued on Conduct of Business and
    Postponement of Telephone Recording
  • FSA Focuses on Hedge Fund Managers and Market Abuse
  • FSA Arrests Two in Boiler Room Criminal Investigation
  • CEBS Gives in to Market Pressure on Large Exposures Regime
  • UK Opposes Single European Regulator Proposal
  • Deletion of Computer Files Results in Entry of
    $80,000,000 Judgment
  • Securities Claims of Shareholder in Privately Held Company