In this issue:
- SEC Issues Proposal Regarding Cross-Border Security-Based Swap Activities
- CFTC Staff Issues No-Action Letters
- Delaware Court Dismisses Securities Fraud Action Against Power Plant Executives
- Gaming Company’s Regulatory Delays Insufficient to Give Rise to a Securities Fraud Claim
- Excerpt from: CFTC Staff Issues No-Action Letters
Commodity Futures Trading Commission staff recently released two no-action letters providing relief relating to the application of business conduct standards to prime brokers and swap dealers and disclosure of pre-trade mid-market mark with respect to certain transactions.
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