In this issue of CFWD we discuss:

  • SEC Votes to Propose All-Electronic Disclosure
    and Updated Test for Registration for Foreign Issuers
  • Exemption to NASD Rule Pertaining to Foreign Affiliates’
    Research Analysts
  • SEC Approves FINRA Rule Proposal to Amend NASD Rule 2711
    and NYSE Rule 472
  • Valuation a Leading Topic at SEC Speaks Conference – SEC
    Guidance Expected
  • SEC Proposes Major Form ADV Part II Amendments
  • New Guidance Under ERISA on Trustee’s Duty to Collect
    Delinquent Contribution
  • FinCEN Releases Updated Issue of SAR Activity Review
  • UK FSA Bans and Fines Broker for Dishonesty and Misleading
    Customers
  • European Commission Publishes Research on UCITS Investment
    Policies
  • Inference of Scienter at Least as Likely as Plausible Opposing
    Inference
  • Defendant Fails to Win Summary Judgment Dismissal for Lack of
    Loss Causation
  • CFTC Creates Energy Markets Advisory Committee
  • CFTC and Chinese Securities Regulator Agree to Enhanced
    Cooperation
  • CFTC Adopts Rules for ECMs and Other Trading Facilities

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