In this issue of CFWD we discuss:

  • NASDAQ Proposes Listing Standards for Special Purchase
    Acquisition Vehicles (SPACs)
  • FINRA Offers Guidance on ECN Trade Reporting
  • FINRA Relief for Certain Record Retention Requirements
  • CBOE Proposes to Reduce Order Handling and Exposure Periods
    to One Second
  • Phlx Proposes to List and Trade Jumbo Options
  • Proposed Amendments to CBOE Rules Regarding Application
    of Participation Entitlements
  • Supreme Court Holds That Individual Participants Can Seek
    Relief for Fiduciary Breach Under ERISA
  • OTS Releases Report Describing Status of Thrift Industry
  • UK Launches Further Consultation on Funds of Alternative
    Investment Funds (FAIFs)
  • FSA Publishes Guidance on Passporting Under Prospectus Directive
  • EU Proposes Sovereign Wealth Fund Code of Conduct
  • §12(a)(2) Claim Dismissed: Alleged Misrepresentations Did Not
    Relate to Prospectus
  • Court Denies Motion to Dismiss Rule 10b-5 Claim
  • CFTC Seeks Rehearing on Foreign Currency Jurisdiction
Related Professionals
Related Practices