In this issue of CFWD we discuss:
- House Subcommittee Approves Securities Act of 2008 to Enhance SEC Enforcement Powers
- Is SARBOX Constitutional?
- Delaware Supreme Court Strikes Down Proposed Bylaw to Reimburse Stockholder Proxy Expenses
- Second Circuit Holds Interpositioning Does Not Constitute Securities Fraud
- NYSE Proposes New Market Structure That Would Eliminate Specialists
- ISE Proposes Rule Change Governing Conduct of Doing Business with the Public
- FINRA’s Assessment of the Trading Activity Fee
- NYSE Arca Amends Rules Related to Definition and Execution of Complex Orders
- SEC Alerts Compliance Officers About Deficiencies and Weaknesses Found
During Recent Compliance Examinations - The CBOE Files a Proposed Rule Change to CBOE Rule 9.21, “Communications to Customers”
- SEC Highlights Investment Adviser Compliance Weaknesses
- Consultative Documents Issued by the Basel Committee on Banking Supervision
- ITF Releases Interim Report on Crude Oil Markets
- NFA Petitions CFTC to Require Electronic Filing of Disclosure Documents
- Court Dismisses Clearing Firm from CFTC Enforcement Action
- Agencies Issue Final Guidance on Supervisory Review Process (Pillar 2) Related to
Implementation of Basel II Advanced Approaches Rule - OTS to Establish Minority Depository Advisory Committee; FDIC Expands Guidelines
for Providing Technical Assistance to Minority Depository Institutions - FSA Consults on Changes to Disclosure and Transparency Rules
