In this issue:
- SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks
- Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes
- FINRA Proposes to Amend Rule 4210
- CFTC Extends Expiration of MTF Relief
- CFTC Requests Public Comment on ICE Swap Trade Packaged Transaction Rule
- Money Manager Sues SEC to Stop Administrative Action in $1.5 Billion CDO Case
- Texas District Court Denies Class Certification in IPO Securities Suit
- Excerpt from Money Manager Sues SEC to Stop Administrative Action in $1.5 Billion CDO Case:
A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by bringing an administrative proceeding for securities claims in connection with several collateralized debt obligation transactions (CDOs). Wing F. Chau and his firm Harding Advisory LLC (Plaintiffs) assert that the SEC deprived them of significant procedural protections by not bringing a lawsuit in federal court.
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