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Corporate and Financial Weekly Digest - Volume II, Issue 20

Newsletter | May 18, 2007

In this issue of CFWD we discuss:

- SEC to Meet on Internal Controls and Disclosure Requirements
- PCAOB to Vote on Final Standard on Auditing Internal Control
- No Rule 144 Tacking Limited Liability Company Interest
  with Successor Corporation Stock
- SROs Require Twice a Month Reporting of Short Interest
- NASD Trade Reporting for Exemptions From NMS Rule 611
- NYSE Reminds Members of Regulation NMS Compliance Dates
- Failing Balance Sheet Test But Operating Substantial
  Business Does Not Make You an Investment Company
- Joint Interim Rules Expanding Examination Cycle
  for Certain Financial Institutions Issued
- FSA Fines Private Bank for Weak Anti-Fraud Controls
- FSA Fines Firm $240,000 for Unauthorized Investment Management
- FSA Recognizes First Industry Guidance
- UK Treasury Encourages EU Enforcement
- Plaintiff Class Adequately Pleaded Securities Fraud Claims
- Plaintiff Sufficiently Stated and Had Standing to
  Pursue Antitrust Claims
- CFTC Proposes Exempting Credit Default Products From CEA
- New Financial Requirements of Section 14 of the NFA Rules

 

 

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