In this issue of CFWD we discuss:
- Rule Amendments to Disclosure and Reporting
Requirements for Small Companies Proposed
- Registration Exemptions for Compensatory Stock
Options Proposed
- Regulation NMS Pilot Stocks Phase Date
- Amendments to NYSE Rule 92 Approved
- NYSE Arca Removes LMM Requirements for Certain
Options Classes
- CBOE to Trade Corporate Debt Securities Options
- Private Fund Antifraud Rule Under the Investment
Advisers Act Adopted
- Proposed Revisions to Interagency CRA Questions
and Answers Released
- FSA Reverses Proposed Amendments to UK Listing Rules
- JMLSG Consults on Changes to Anti-Money Laundering
Guidance
- FSA Announces New Market Abuse Strategy
- FSA Launches Discussion on MTF Trading Oversight
- FSA Publishes Quarterly Consultation
- Undertakings for Collective Investment in Transferable
Securities Amending Directive Announced
- Questionnaire on Rating of Structured Finance
Instruments Published
- Commission Steps Up Pressure on Member States to
Implement MiFID
- Vertical Price Restraints Are No Longer Per Se Illegal
- Plaintiff Did Not Plead Securities Fraud Claim
with Scienter
- Rule Requiring Online Annual Review of Registration
Information Adopted
