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Corporate and Financial Weekly Digest - Volume I, Issue 10

Newsletter | March 10, 2006

In this issue of CFWD we discuss:

- California LLC Fee Held Unconstitutional
- Chief Counsel of SEC’s Division of Corporation Finance Clarifies Form S-3 Issue
- SEC'S Advisory Committee on Smaller Public Companies Solicits Comments on Draft Final Report
- OTS Preempts Local Lending Law
- Nasdaq Petitions to Include National Capital Market Stocks as Covered Securities
- SEC Studying Retail Customer Protections under Exchange Act and Advisers Act
- March 16 Cutoff For Limited Size and Resources Exception to NASD Rule 3012
- NYSE Proposes to Change Who Must Be an Approved Person
- FSA Fines Hedge Fund and Senior Trader $1.3 Million Each for Market Abuse
- FSA to Simplify Training and Competence Rules
- Ninth Circuit Affirms Dismissal of Complaint for Failure to Plead Scienter
- Plaintiffs Fail to Show that Revenue Forecasts Were False When Made
- CFTC Permits Chicago Mercantile Exchange and Clearing Members to Commingle Regulated Futures and OTC Margin Deposits
- SGX Seeks Comments Regarding Proposed Listing Rules for Hedge Funds
- Financial Industry Associations Comment on Proposed PATRIOT Act Regulation