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Corporate and Financial Weekly Digest - Volume I, Issue 11

Newsletter | March 17, 2006

In this issue of CFWD we discuss:

- SEC Flip Flops on Form S-3 Issue
- Sarbanes, Oxley and Others Disagree on SEC Authority to Grant Section 404 Exemption to Smaller Companies
- Federal Reserve Approves Amendments to Regulation K Regarding Operations of Foreign Banks in U.S. and Foreign Operations of U.S. Banks
- NYSE Requires Filing of CEO Certificate and Compliance Report
- NYSE Notices Trading Permit Fee and Related Fees
- BSE to Enter into Regulatory Services Agreement
- Nasdaq Files Minor Rule Violation Plan
- NASD Issues Revised Sanctions Guidelines
- Sarbanes-Oxley Act does not Limit Corporate Obligation to Advance Defense Costs
- Business Expenses Incurred in Scheme to Defraud not Offset from Disgorgement
- CFTC Permits Chicago Mercantile Exchange Floor Brokers and Floor Traders to be Eligible Contract Participants

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