In this issue of CFWD we discuss:

- Commission on the Regulation of U.S. Capital Markets
  in the 21st Century Calls for Reform
- SEC Staff Outlines How Foreign Brokers and Exchanges
  Can Access U.S.
- SEC Proposes Amendments to Broker-Dealer Financial
  Responsibility and Related Rules
- SEC Staff Issues Report on Options Order Routing
  and Execution
- FinCEN and Banking Regulators Announce Availability
  of New SAR Form
- FSA Clarifies Approach to Alternative Investment
  Regulation
- FSA Sets Out Suspicious Transaction Scenarios
- UK Treasury Committee to Hear Evidence on Private
  Equity Funds
- Lead Plaintiff Appointment Vacated Under PSLRA
- Plaintiff Failed to State Claim Under § 36(b) of
  Investment Company Act of 1940
- Interpretive Notice for FCMs Offering Sweep Accounts
  Approved
- CFTC Approves NFA Amendments to Compliance Rule 2-10

 

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