In this issue of CFWD we discuss:

- Guidance for Compliance with Section 404 of
  Sarbanes Oxley Approved
- SEC Proposes to Modernize Smaller Company
  Capital – Raising and Disclosure Requirements
- Rule Changes Regarding Business Entertainment
- ISE to Provide Members with Information
  Regarding Public Customer Interest
- FinCEN Delays Implementation of Revised
  Suspicious Activity Reports
- UK Crime Agency Publishes First Annual Report
- FSA Publishes MiFID Notifications Guide
- “Fraud on the Market” Presumption Requires
  Showing of Loss Causation 
- NFA Issues Notice Regarding Disclosure of
  Conflicts of Interest by CPOs and CTAs
- Relief Granted to NYMEX in Connection
  with Clearing Contracts Traded on the
  DME Trading System