In this issue of CFWD we discuss:

  • SEC Releases Updated Compliance and Disclosure Interpretations for
    Section 16, Form 8-K and Regulation S-K
  • SEC and FRB Sign Memorandum of Understanding
  • Corporate “Outsider” Could Be Held Liable for Insider Trading Under
    Misappropriation Theory
  • Court Affirms Insider Trading Conviction
  • CBOE Receives Approval for Rule Changes Related to Sponsored Users
  • NYSE Arca Amends Minor Rule Plan
  • ISE Files Amendments to Proposed Rule Change to Reduce Order
    Handling and Exposure Periods
  • NYSE Proposes to Amend Rules to Redefine Specialist Operations
  • New Methodology for Adjusting Options Contracts
  • California Legislature Passes Mortgage Foreclosure Bill
  • SEC Publishes Summary Report Regarding Credit Reporting Agencies and
    Third Set of Proposed Rules Regarding Credit Ratings
  • IRS Issues New Revenue Procedure Regarding Subprime Loan Modifications
  • CFTC Seeks Public Comment on Clearing of Agricultural Swaps
  • CFTC Comments on Federal Trade Commission Market Manipulation Rulemaking
  • IRS Issues Revenue Ruling Addressing Deductibility of Management Fees
  • OTS Releases First Mortgage Metrics Report
  • FSA Fines IT Employee for Market Abuse
  • FSA Announces Disclosure Regime for CFDs
  • European Parliament Proposes Enhanced EU Regulatory and Supervisory
    Framework for Financial Services