In this issue of CFWD we discuss:

  • SEC Releases Final Rule on Electronic Form D Filing
  • One Year Postponement of Auditor Attestation Requirements
    for Non-Accelerated Filers Proposed
  • AMEX Permits Options Traders to Quote and Trade From Off-Floor 
  • Broker-Dealer Fined for Prime Broker Soft Dollar,
    Capital Introduction and Commission Sharing Violations
  • Developments in Mutual Recognition
  • SEC Exempts PORTAL Securities From Rule 15c2-11
  • Federal Reserve Releases New Proposals
  • UK to Consult on a New “Gold Standard” for Covered Bonds
    and Mortgage-Backed Securities
  • FSA Publishes 2008/9 Business Plan
  • UK Treasury Consults on Market Abuse Regime
  • “Deliberate Recklessness” Standard Should Have Been Applied
    in Scienter Analysis
  • Plaintiff Investors Fail to Establish Loss Causation
  • U.S. Department of Justice Challenges Exchange-Controlled
    Clearing Organizations
  • CFTC Grants Part 4 Exemptions to CPO