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Corporate and Financial Weekly Digest - Volume II, Issue 35

Newsletter | September 14, 2007

In this issue of CFWD we discuss:

- SEC Focuses on “Free Lunch” Seminars
- SEC Declines to Issue No-Action Letter to Finder/Consultant
- NYSE Adds Sub-Penny Trading Halt to Message Alerts
- Public to Access Historic TRACE Data and Amendment of NASD
  Rule 7030
- NASDAQ Proposes Step-Outs and Transfer of Rule 7002 Sales
  Fees for Members
- FDIC Approves Application for Deposit Insurance by Proposed ILC
- Industry Guidance to Play a Key Role in FSA Regulation
- FSA Updates MiFID Guidance
- McGraw-Hill Ordered to Turn Over Pricing Documents in
  Investigation
- S-8 Registration Does Not Apply to Sales of Securities for Raising
  Capital

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