In this issue of CFWD we discuss:

  • SEC Commences Work on Congressionally Mandated Study on
    Accounting Standards
  • SEC Adequately Pleads Aiding and Abetting Violations Against
    Officer of a Vendor That Sold Goods to a Primary Violator
  • In Rare Instance, Court Grants Plaintiff’s Summary Judgment
    Motion on Fraud Claim
  • SEC Approves FINRA Proposal to Eliminate Yield Reporting to TRACE
  • FINRA Clarifies Bona Fide Market Maker Fail-to-Deliver Settlement Obligations
  • FINRA Amends Reporting Requirements for OTC Transactions
    in Foreign Securities
  • Interim Assistant Secretary for Financial Stability to Deliver Remarks on EESA
  • CFTC Increases Monetary Penalties for Violations of CEA, CFTC Rules
  • Federal Reserve Announces Creation of Commercial Paper Funding Facility
  • FDIC Board Proposes Higher Assessments on Insured Banks
  • FSA Increases Deposit Protection
  • UK Announces Financial Support to Banking Sector
  • CESR Publishes MiFID Supervisory Briefings
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