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Corporate and Financial Weekly Digest - Volume II, Issue 38

Newsletter | October 5, 2007

In this issue of CFWD we discuss:

  • Commissioner Nazareth to Resign – Shareholder Access
    Proposals in Limbo?
  • SEC Issues Fee Rate Advisory for 2008 Fiscal Year
  • Rule Proposed Regarding the Unlawful Internet Gambling
    Enforcement Act
  • Proposed CBOE Rules Relating to Governance of Doing
    Business with Public
  • Amendments to Short Sale Delivery Requirement Rule
  • FINRA Requests Comment on OTC Trade Reporting Proposal
  • SEC Extends and Expands Penny Pilot Program for Options
  • SEC Proposes Interpretive Rule on Broker-Dealers under
    Section 202(a)(11)(C) of the Advisers Act
  • SEC Adopts Interim Rule on Principal Trades for Dually
    Registered Firms
  • California May Require Certain Hedge Fund Advisers to
    Register and Proposes Additional Adviser Rules
  • FSA Publishes Paper on Good and Poor Practices in Key
    Features Documents
  • FSA Requests Confirmation of MiFID and CRD Status from
    Commodity Firms
  • FIA and FOA Sign Cooperation Agreement
  • Group Pleading Doctrine Held Not Viable Under PSLRA
  • Allegations Failed to Raise a “Strong Inference” of Scienter
  • House Agriculture Committee Supports CFTC Exclusive
    Jurisdiction
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