In this issue of CFWD we discuss:

  • SEC Issues Order Approving Exchange Act Registration of Securities to be Traded on Nasdaq Stock Market LLC
  • SEC and CESR Launch Work Plan Focused on Financial Reporting
  • Pension Bill Changing 25% Test Sent to President
  • NASD and NYSE Issue Joint Statement on Guidance for Fixed Income Research
  • NASD Rule on Short Sales
  • Nasdaq Stock Market Begins Operations
  • SEC Broker-Dealer/Investment Adviser Regulation Study Moves Forward
  • Banking Agencies Release Revisions to Bank Secrecy Act/Anti-Money Laundering Examination Manual
  • FDIC Issues Computer Tool Designed to Calculate Bank Base Premiums
  • FSA Fines Hedge Fund Manager and Senior Trader $1.3 million each for Market Abuse and Breach of Principles
  • FSA Consultation on Implementing MiFID for Firms and Markets
  • <st1:country-region w:st="on"><st1:place w:st="on">UK</st1:country-region>  Treasury Consultation on Third EU Money Laundering Directive
  • NASD Panel Did Not Manifestly Disregard the Law
  • Meeting Competition Defense Precludes Antitrust Liability
  • NFA Implements Enforcement/Compliance Contact Requirement
  • CFTC Extends Comment Period on Proposed Acceptable Practices for Exchange Governance and Conflicts of Interest
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