In this issue of CFWD we discuss:

  • SEC Proposes Amendments to Regulation S-P’s Privacy Rules
  • Denial of Leave to Amend Securities Complaint Affirmed on Basis of Futility
  • Statute of Limitations Barred Federal Securities Claims
  • SEC Proposes “Naked” Short Selling Anti-Fraud Rule
  • NYSE to List Special Purpose Acquisition Companies
  • FINRA Announces Changes to Form NMA
  • SEC Issues Municipal Auction Rate Securities
    No-Action Letter
  • AMEX to Conform Options Supervisory and Control Rules
  • OCIE Director Announces Investment Advisor
    Examination “Top Ten”
  • CFTC Proposes Exemptive Order for Futures on streetTRACKS
    Gold Trust Shares
  • Proposed Revisions Released to Interagency Questions
    and Answers Regarding Flood Insurance
  • Federal Reserve Study Reveals Biggest Share of Checks
    Are Consumer to Business
  • Fed Announces Two Programs to Bolster Market Liquidity
    and Promote Orderly Market Functioning
  • FSA Admits Failures in Regulatory Oversight of
    Northern Rock
  • Revised FSA Website Financial Promotions Section