In this issue of CFWD we discuss:

  • SEC Announces Mid-Year Reduction to the Section 31
    Fee Rate Effective April 1, 2008
  • FinCEN Issues Guidance Regarding AML Responsibilities
    of Securities Clearing Firms
  • FINRA Increases Margin Requirements for Auction Rate Securities
  • Amendments to CBOE Market-Maker and Remote Market-Maker Rules
  • FINRA to Make Permanent Pilot Program Relating to Options
    Position and Exercise Limits
  • Proposed Rules to Streamline ETF Approvals
  • Fed General Counsel Discusses Legal Standards for Approval
    of Sovereign Wealth Funds
  • OTS Issues Legal Opinion Confirming Preemptive Effect
    of Federal Law Over State Law in the Predatory Lending Area
  • OCC Requests Monthly Mortgage Data From Large National Banks
  • FSA Announces Final Rules on Telephone Taping
  • FSA Consultation on Listed Company Sponsor Regime
  • FSA Publishes Final Covered Bonds Rules
  • Arbitration Clause in One Agreement Governed Dispute Under
    Related Agreement 
  • Securities Complaint Satisfied Heightened PSLRA Pleading Standards
  • CFTC Approves ICE-OCC Cross-Margining Program
  • NFA Proposes Enhanced Disclosure Requirements for Forex Pools
    and Trading Advisors
  • NFA Clarifies Acceptable Collateral for Forex Security Deposits