- SEC Announces a Heavy Agenda for its December 4th Meeting
- Proposed Amendment to Definition of Covered Securities to
  Include Securities Listed on the NASDAQ Capital Market
- FDIC Final Rules on Assessments and the Designated
  Reserve Ratio
- OCC and NY Banking Department Sign MOU Regarding
  Consumer Complaints
- The Options Clearing Corporation Proposes Changes to
  Option Adjustment Methodology
- SEC Approves Amendments to NASD Rules Relating to Equity
  and Index Option Position and Exercise Limits and
  Reporting Obligations
- NASD Proposes Additional Guidance on Mark-Ups in Debt
  Securities Transactions
- NASD and NYSE Propose Plan to Consolidate Member
  Regulation Operations
- FSA and CFTC Sign New MOU
- FSA Fines U.S. Equities Salesman for Inappropriate Conduct
- FSA Sets Out Good Practice Guidelines for Valuation of Hedge
  Fund Assets
- Corporation’s Conditioning of Advancement of Legal Fees Did
  Not Violate Indemnification Provision
- Presence of Disputed Facts Prevented Grant of Summary
  Judgment on 1933 Act Claim
- NFA Proposes Amendment Regarding FCMs’ Eligibility to
  Guarantee IBs
- CFTC Adopts Electronic Filing Requirements for Introducing
  Brokers’Certified Annual Financial Reports
- NFA Proposes Amendment to Reduce Exchange Members’
  Assessment Rate

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