In this issue:
- SEC Launches Public Website for Analyzing Exchange Data
- New York Stock Exchange Proposes New Rules to Harmonize Quantitative Continued Listing Standards and Modify Reverse Merger Listing Requirements
- SEC Re-opens Comment Period for Amendments to Regulation D, Form D and Rule 156
- FINRA Discusses Suitability Rule Examination Findings
- Government Publishes Study of Systemic Risks in Asset Management
- Second Circuit Affirms Canadian Mining Company’s Victory in Securities Fraud Suit
- Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer
- OCC Updates Bank Accounting Advisory Series
- FFIEC Warns on Windows XP
- Excerpt from: FFIEC Warns on Windows XP:
On October 7, the Federal Financial Institutions Examination Council (FFIEC) issued a joint statement alerting financial institutions that the discontinuation of support (also known as “end of life”) for the Microsoft Windows XP operating system (XP) could present operational risks to financial institutions, technology service providers (TSPs), and to activities supported by other third parties.
Please see full newsletter below for more information.
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Topics: Asset Management, Broker-Dealer, FFIEC, FINRA, Form D Filing, Insurers, Listing Standards, NYSE, OCC, Regulation D, Reverse Mergers, SEC, Securities Fraud
Published In: Business Torts Updates, Civil Procedure Updates, Finance & Banking Updates, Mergers & Acquisitions Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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