In this issue of CFWD we discuss:

  • SEC Adopts New Rules for Business Development Companies and Reproposes New Categories of Eligible Portfolio Companies
  • SIA and ICI Object to Mandatory Disclosure of Compensation of Non-Executive Officers
  • FDIC Approves New Risk-Based Premiums for Deposit Insurance
  • SEC Approves Proposed Amendment to NASD Rule 3170 to Require Members to Electronically File Certain Regulatory Notices with the NASD
  • FSA Publishes Proposals for More Principle-Based Regulation
  • FSA Proposes to Encourage the Use of Industry Guidance
  • Collateral Estoppel Supports SEC’s Motion for Summary Judgment
  • Fraudulent Change in Ownership of Stock Does Not Establish Rule 10b-5 Violation
  • CFTC Issues Statement of Policy on Direct Access to Foreign Boards of Trade
  • CFTC Proposes to Require All FCMs to Become Members of NFA
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