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