In this issue of CFWD we discuss:

  • SEC Issues Concept Release Concerning Management’s Report on Internal Control Over
  • Delaware  Adopts Amendments for Majority Voting
  • NASD Files Proposed Rule Change to Amend the Safe Harbor for Business Expansion
  • SEC Plans Investment Adviser Broker-Dealer Regulation Study
  • NASD Files Amendment to Create the Nasdaq Global Select Market and Rename the Nasdaq National Market
  • SEC Grants Nasdaq National Market Securities Short Sale Exemption
  • No-Action Letter Denied to Finder for an Investment Bank
  • SEC Approves NASD Rule on Disclosures When Trading Net
  • FDIC Issues Updates in Light of Increased Deposit Insurance Coverage
  • FDIC Proposes New Risk-Based Insurance Assessment System
  • LLC Member Has Common Law Standing to Pursue Derivative Claims on LLC’s Behalf
  • Complaint Dismissed for Failure to Plead Economic Loss
  • CFTC and SEC Jointly Enact Rules Permitting Trading of Futures on Debt Indexes and Debt Securities
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