In this issue of CFWD we discuss:
- SEC Announces Next Steps for Sarbanes-Oxley Section 404 Implementation; Smaller Public Companies Will Be Required to Comply
- Commissioner Glassman Announces Her Intention to Leave the SEC
- NASD Requests Comment on Publicly Disseminating Buy/Sell and Customer/Dealer TRACE
Information
- NASD Issues Reminder and Guidance to FINOPs under NASD Rule 1022
- Proposed NYSE Rule Change Regarding the Independent Contractor Filing Requirements
- NASD Provides Guidance to Member Firms Concerning Upcoming Examinations
- FSA and HM Treasury Publish Joint Implementation Plan for MiFID
- MiFID: FSA Publishes Discussion Paper on Best Execution Requirements
- Financial Services and Markets Tribunal Overturns High Profile FSA Market Abuse Decision
- District Court Finds Generalized Economic Motive Insufficient to Plead Scienter
- Court Must Explain Grounds for Denial Of Leave to Amend Securities Fraud Complaint
- CFTC and Committee of European Securities Regulators Create Online Guides to Facilitate Transatlantic Derivative Business
