Securities Regulation & Law Report Index-Summary

NASAA

See NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA)

NASD

See now FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)

NASDAQ

– Business model, markets must innovate to succeed, analyst says, 349
– Derivatives, subsidiary licensed to operate clearinghouse for OTC interest rate swaps, 66
– Listing requirements, SEC allows continuation of standards suspension, 85
– Short sale tick test, exchanges propose modified rule for fast, modern markets, 565
– Sponsored access systems, SEC considers rule proposal, 971
– Taiwan Futures Exchange, MOU signed for possible partnership, 511

NETHERLANDS

– Qwest joint venture, bankruptcy trustees file claims against former executives (D. Colo.), 237

NEW YORK STOCK EXCHANGE (NYSE)

– Business model, markets must innovate to succeed, analyst says, 349
– Credit default swaps clearing, NYSE in joint venture for European index contracts, 9
– Enforcement actions, censures and fines announced, 303; 711; 979
– Listing criteria

– – Market capitalization provision temporarily lowered, 162
– – Price requirement temporarily suspended, 351

– NYSE Alternext

See NYSE ALTERNEXT

– Regulation

See FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)

– Short sale tick test, exchanges propose modified rule for fast, modern markets, 565; Niederauer to draft SEC comment letter, 762
– Simple majority vote, NYSE Euronext may not omit proxy proposal (SEC No-Action Letter), 187
– Trading halts, circuit breaker trigger levels, quarterly revision, 53
– Uncontested director elections, NYSE proposal to drop broker discretionary voting causes controversy, 606; SEC will move ahead with proposal, 855
– Volatility, suspension of closing rules, temporary provisions extended, 56

NEWSPAPERS AND MAGAZINES

– Insider trading, magazine employees settle claims of trading on unpublished columns (S.D.N.Y.), 615

NIGERIA

– Oil and gas, Halliburton settles FCPA bribery charges, 157; record fines to be paid (S.D. Tex.), 256; employees of subsidiary indicted, 403

NO ACTION LETTERS

– Corporate responsibility committee, Verizon may omit proposal, 35
– Cumulative voting, Bank of America and Motorola may not omit proposals, 99
– Host country health and environment report, Chevron may not omit proposal, 684
– Simple majority vote, NYSE Euronext may not omit proposal, 187
– Special meetings, AMN Healthcare Svcs. and Burlington N. Santa Fe may not omit proposals, 142

NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA)

– Auction rate securities, NASAA launches Web site to guide investors filing claims, 625
– Legislative agenda, role of states, transparency, and increased oversight highlighted, 175
– Penalty pre-authorization, SEC commissioner tells conferees program should end, 78; history of SEC corporate enforcement, Analysis and Perspective, 307

NOTICE

– Forum selection clause upheld despite investor claims of lack of notice (Cal. Ct. App.), 228
– Inquiry notice

– – Clinical trial disclosures, scientific debate without evidence of bad faith does not trigger inquiry notice (3d Cir.), 211
– – Reasonable person standard on suspicion of injury is question for trier of fact (Cal. Ct. App.), 314

NYSE

See NEW YORK STOCK EXCHANGE (NYSE)

NYSE ALTERNEXT

– Best execution, nonspecific SEC report is insufficient to support claim (2d Cir.), 408
– Volatility, suspension of closing rules, temporary provisions extended, 56