In this issue of CFWD we discuss:

  • SPECIAL BULLETIN: Treasury Department Publishes Financial Regulatory Reform Plan
  • Congressman Peters Introduces Corporate Governance Legislation
  • Court Holds Employee Stock Option Plan Not a Security
  • Short Swing Profits Claim Barred by Statute of Limitations
  • FINRA Proposes to Adopt Certain NASD Rules as Part of Consolidated
    FINRA Rulebook  
  • Options Exchanges File Rules for New Options Linkage Plan
  • Establishment of Fees for Orders Utilizing NASDAQ “Flash” Functionality
  • SEC Chair Outlines Current Issues Under Consideration by the Commission
  • CFTC Seeks Comment on Whether ICE Contract Performs Significant Price Discovery Function
  • Senator Reed Introduces Bill to Eliminate Private Advisor Exemption
    from Registration
  • FINRA Notes Obligations in Marketing Leveraged and Inverse ETFs
  • FRBNY Appoints Trepp as Collateral Monitor and Announces No June CMBS Loan Requests
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