Skip to Main Content

Corporate and Financial Weekly Digest - Volume II, Issue 13

Newsletter | March 30, 2007

In this issue of CFWD we discuss:

- SEC Chairman Cox Expresses Views on CD&A Compliance
- SEC Schedules Open Meeting to Discuss PCAOB’s
  Proposed Auditing Standard and Management Guidance
  for SOX 404 
- Portfolio Margin Risk Disclosure Statement NTM
- NYSE Proposes “Telephone Solicitations” Rule Change
- Proposed Rule Change Relating to Linkage Orders
- FDIC Considers Micro-Loans
- Terms of Reference for Private Equity Inquiry Announced
- FSA Publishes Perimeter Guidance Relating to MiFID
- FSA Reviews UK Commodities Markets
- Widening the Market for Alternative Investment Vehicles
- FSA Takes Bankruptcy Proceedings Against UK Lawyer
- FSA Fines Analyst $102,000 for Selective Disclosure
- CESR Publishes Guidelines on UCITS Eligible Assets 
- Short-Swing Profits Claim Against “Non-Beneficial Owner”
  Dismissed
- Securities Exchange Act Claims Failed to Meet PSLRA
  Pleading Requirements
- CFTC Grants TAIFEX-Designated Firms Exemption from
  Part 30 Rules
- NYMEX/Dubai Seek CFTC Relief from Secured Amount
  Requirements
- CFTC Approves NFA Interpretive Notice Regarding FDM
  Supervision of Electronic Trading Systems

 

Katten Websites   Careers  |  Alumni  |  Mobile Site
Contact Us   Offices  |  Media Center  |  People  |  Email
Legal Notices   Disclaimer  |  Privacy Notice  |  Cookie Notice  |  United Kingdom Notices  | Accessibility 
Attorney Advertisting. © 2019 Katten Muchin Rosenman LLP