In this issue of CFWD we discuss:

  • SEC Issues List of Rules to Be Reviewed
  • CEO Granted Partial Summary Judgment on SEC’s Sarbanes-Oxley Claims
  • Court Upholds “Asset Freeze” Against Non-Parties’ Property
  • FTC Announces New Hart-Scott-Rodino Thresholds
  • FINRA Addresses Unregistered Resales of Restricted Securities
  • FINRA Requests Comments on Front Running Policies
  • CBOE Proposes Changes to Monthly Access Fees
  • SEC Releases Final Rule on Enhanced Disclosure and Prospectus Delivery for Mutual Funds and Exchange-Traded Funds
  • TARP Reform Legislation Introduced in the House
  • Senate Votes to Release Second $350 Billion Tranche of TARP Funds
  • FDIC Loss Sharing/Loan Modification Legislation Introduced in Congress
  • FDIC Requires Banks to Monitor TARP Funds
  • Banking Agencies Issue Risk Management Guidance on Remote Deposit Capture
  • FSA Proposes Reduction to Rights Issue Subscription Periods
  • FSA Confirms Lifting of Short-Selling Ban
  • Immunity Powers Proposed for the FSA
  • Further Fine for Market Abuse
  • European Commission Launches Review of the EU Prospectus Directive

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