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Latest Regulatory Developments

SEC Office of Inspector General Audit Report: Survey of Enforcement's HUB System (Oct. 1, 2008)

SEC Office of Inspector General Audit Report: Inspection of Corporation Finance Referrals (Oct. 1, 2008)

SEC Fee Rate Advisory #2 For FY 2009 (Sep. 30, 2008)

SEC Final Rule: Technical Amendment Updating Reference to ISB NO. 1 (Sep. 30, 2008)

SEC Final Rule: Commission Guidance and Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions (Sep. 30, 2008)

Sunshine Act Notice: SEC Roundtable on Modernizing the SEC's Disclosure System on Oct. 8 (Sep. 30, 2008)

U.S. Treasury Dep't Advisory Committee on the Auditing Profession Adopts Final Report (Sep. 30, 2008)

SEC Chairman Cox Announces End of CSE Program (Sep. 29, 2008)

SEC Guidance for Submitting Form SH (Sep. 29, 2008)

SEC Guidance Regarding The Reserve Fund and Money Market Funds (Sep. 29, 2008)

SEC Chairman's Response to Inspector General Reports Regarding the Failure of the Consolidated Supervised Entities Program (Sep. 29, 2008).

SEC Office of Inspector General Audit Report: SEC's Oversight of Bear Stearns and Related Entities: Consolidated-Supervised Entity Program (Sep. 29, 2008).

SEC Office of Inspector General Audit Report: SEC's Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program (Sep. 29, 2008).

FASB Proposes Improvements to Reporting of a Discontinued Operation (Sep. 26, 2008).

FINRA Dispute Resolution Proposes To Raise Threshold for Three-Arbitrator Cases; Single Arbitrator To Hear Investor Cases of Up to $100,000, Up from $50,000 (Sep. 26, 2008).

FASB Issues Statement Denying Media Report that Derivatives and Hedge Accounting Proposal Has Been Dropped (Sep. 26, 2008).

Public Comments on SEC's Emergency Order Concerning Disclosure of Short-Selling (Sep. 26, 2008).

SEC Seeks More Transparent Disclosure for Investors with 21st Century Disclosure Initiative (Sep. 26, 2008).

Petition for Public SEC Rulemaking Regarding Shareholder Ratification of Auditors (Sep. 26, 2008).

Guidance Regarding Disclosure of Short Selling (Sep. 25, 2008)

SEC Wins Major Hedge Fund Fraud Case Against Michael Lauer, Head of Lancer Management Group (Sep. 25, 2008)

SEC Charges Firm With Fraud While Recommending Hedge Fund That Made Undisclosed Subprime Investments (Sep. 25, 2008).

Information for EDGAR Filers: Hurricane Ike and Houston Power Outage Filing Problems (Sep. 25, 2008)

SEC Investor Alert: Your Brokerage Account and Money Market Funds (Sep. 25, 2008).

SEC Division of Investment Management's "Select Bibliography" Regarding Registered Investment Company Use of Senior Securities (Sep. 25, 2008).

AmSouth to Pay $11 Million for Improper, Undisclosed Use of Funds (Sep. 24, 2008)

Guidance Regarding Temporary Rule 204T (Sep. 24, 2008)

NY State Department of Insurance Reverses Previous Position in Effort to Regulate Certain Credit-Default Swaps; Will Require Some Sellers of Credit-Default Swaps to Become Insurance Companies Subject to State Regulation (Sep. 23, 2008).

Fed Waives Five-Day Antitrust Waiting Period to Allow Goldman Sachs and Morgan Stanley to Form Bank Holding Companies (Sep. 22, 2008).

Fed Loosens Longstanding Rules That Limited Ability of Buyout Firms and Private Investors to Take Stakes in Banks (Sep. 22, 2008).

SEC Already Forced to Revise Rules Banning Short Sales After Being Criticized for Miscalculating the Impact of its Rulemaking; Rule Now Provides that Those Engaged in Bona Fide Market Making and Hedging Activity, Including in Derivative Contracts, Can Continue to Short (Sep. 23, 2008).