In this issue of CFWD we discuss:

  • Auditor Attestation Requirement in Sarbanes-Oxley Act Delayed for Small Businesses
  • “Storm warnings” Give Rise to Duty of Inquiry
  • Inference of Scienter Must Be at Least as Compelling as Opposing Inference
  • NASDAQ Proposes a Rule Change to Modify the Opening of Trading on the NASDAQ Options Market
  • FINRA Proposes Adoption of Certain Rules in Consolidated Rulebook
  • SEC Votes to Propose Changes Regarding Foreign Broker Access
  • FINRA Annual Certification of Compliance and Supervisory Processes
  • SEC Announces Third Set of Proposed Rules on Reforming Credit Ratings
  • New York Legislature Passes Mortgage Foreclosure Crisis Legislation
  • New Jersey Legislature Passes “Save New Jersey Homes Act of 2008”
  • Exchanges, Industry Groups Comment on FTC Rulemaking
  • Speaker Pelosi Urges White House to Direct CFTC to Act
  • U.S. Supreme Court Addresses Conflicts of Interest in Deciding Benefit Claims
  • Banking Agencies Issue Host State Loan-to-Deposit Ratios
  • Federal Reserve Proposes "Less Complex" Risk-Based Capital Requirements
  • FSA Publishes Market Watch 28
  • LSE Censures and Fines Firm for Breaches of AIM Rules
  • FSA Bankrupts Boiler Room Controller
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