In this issue of CFWD we discuss:

  • “Architects” of Securities Fraud Scheme Were “Primary Violators”
  • Employee Had No Protectable Privacy Interest in Personal Files Stored on Company Computer
  • FINRA Notice on Clearing Deposits Requires Amendment of Clearing Agreements
  • CBOE Revises Rule on Foreign Member Organization Qualifications
  • Fannie Mae and Freddie Mac Placed in Conservatorship by U.S. Treasury and FHFA
  • NFA Proposes Amendments to Enhanced Supervisory Requirements
  • Federal Reserve Board Issues Small Entity Compliance Guide for Regulation R
  • California Budget Impasse Delays Implementation of Life Settlement Industry Regulation
  • FSA Sanctions Hedge Fund Manager for Market Abuse