In this issue of CFWD we discuss:

- SEC Proposes Revisions to Regulation D
- SEC Adopts New Rule Defining “Significant Deficiency”
- NYSE Proposes Customer Notification of Fees Rule
- SEC Approves Changes to NASD Issuer Directed Sales in IPO
- SEC Amends Regulation SHO
- SEC Approves NASDAQ Activation of PORTAL
- Rule Released Prohibiting Fraud on Investors in Pooled
  Investment Vehicles
- Final Rule Issued for Correspondent Accounts Maintained
  by Certain Foreign Banks 
- OTS Issues Notice on Unfair or Deceptive Acts or Practices
- Select Committee Reports on Private Equity 
- Tax Payers Entitled to Compound Interest When Tax Paid
  in Error
- FSA Publishes Additional Feedback on MiFID Best Execution
- LSE Specialist Fund Market Guidelines Published
- Advice on Non-equities Transparency and Reports on Commodity
  and Exotic Derivatives Published
- Injunctive Relief Proper Remedy in SEC Enforcement Action
- Claims of Corporate Mismanagement Dismissed
- Commissioner Dunn Addresses Alleged Energy Market
  Manipulation

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