In this issue of CFWD we discuss:
- Staff Recommendation for Working with the
PCAOB on Section 404 Changes Approved
- Recommendations on Private Securities Offering
Reform Released
- Proposal for Consolidating NYSE and NASD
Regulatory Organizations Published
- New York Court of Appeals Holds Notes are a UCC
Security
- NASD Form U-5 Statements Ruled Absolutely Privileged
from a Defamation Claim
- Advisers Act Rule Exempting Fee Based Brokerage
Accounts Vacated
- Banking Agencies Propose Revised Examination
Schedule
- FSA Leaves Directive-Minimum Listing Door Open
- UK Chancellor Names President of Financial Action
Task Force
- Motion to Dismiss Claims Against Former Officers
and Directors Denied
- CFTC Proposes Codification of Foreign Broker
Exemption