Regulatory Update

Just a quick recap of what the securities regulators have been up to this week:

SEC

SEC Announces Panelists and Agenda for Mark-to-Market Accounting Roundtable
SEC Announces Fiscal 2008 Enforcement Results
Spotlight On: Fair Value Accounting Standards
Q3 List of 13(f) Securities Users
Testimony Concerning the Role of Federal Regulators: Lessons from the Credit Crisis for the Future of Regulation
Speech by SEC Staff: Compliance Through Crisis: Focus Areas for SEC Examiners and Compliance Professionals
Speech: Executive Compensation Disclosure: Observations on Year Two and a Look Forward to the Changing Landscape for 2009

NYSE

NYSE extends trading halt rules to all structured products
Amendments 2 and 3 to the proposed NYSE specialist phase-out plan: rule & news release
NYSE study on new short selling rules

FINRA

Proposed Rule Allocating Regulatory Responsibility Between BATS and FINRA

PCAOB

PCAOB to Consider Proposing Auditing Standards Related to the Auditor's Assessment of and Response to Risk: press release and open meeting notice