In this issue of CFWD we discuss:

  • SEC Signs Protocols for Sharing Information on IFRS
  • SEC Revises Rules to Reflect Structural Reorganization
  • Court Holds That Multi-Level Marketing Plan Constitutes a “Security”
  • Disgorgement Order Credited Defendant With Money Returned to Investors
  • FINRA Guidance on Examination Priorities and Results
  • FINRA Eliminates Senior Registered Options Principal and Compliance Registered Option Principal
  • FINRA Addresses Supervision of Registered Representatives’ Use of Marketing Material to Establish Expertise
  • Congress Adopts CFTC Reauthorization Bill
  • CFTC Announces Energy Market Initiatives and Investigation
  • Federal Financial Regulators Issue Final Illustrations of Consumer Information for
    Hybrid Adjustable Rate Mortgage Products
  • FSA Considers Increasing Regulatory Transparency
  • FSA Launches Consultation on Amending Enforcement Procedures
  • CESR Consults Third Set of Market Abuse Guidance
  • European Commission Calls for Strengthening of EU Level Three Committees