In this issue of CFWD we discuss:

  • SEC Successful in Rare Application of Section 1103 of Sarbanes-Oxley Act
  • Court Grants Motion to Dismiss Section 10(b) Federal Securities Law Claim
  • Court Partially Vacates Summary Judgment Ruling in Securities Fraud Case
  • FINRA Issues Notice Regarding Unauthorized Proprietary Trading
  • FINRA Adopts Exemption for Foreign Research Analysts
  • Proposed ISE Rule Change Relating to the Exposure of Public Customer Orders
  • AMEX Proposes Delta Hedging Exemption from Equity Options Position Limits
  • BSE Proposes Delta Hedging Exemption from Equity Options Position and Exercise Limits
  • CFTC Amends Regulations for Registered Entities and Exempt Commercial Markets
  • Federal Reserve Approves Application Related to Energy Management and Tolling
  • FSA Fines Stockbroker for Poor Sales Practices
  • The Future of EU Regulation
  • Third Party Administrator Fined for Customer Document Failings
  • CRD Changes Proposed
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