Securities Regulation & Law Report Index-Summary

OCC

See COMPTROLLER OF CURRENCY OFFICE (OCC)

OFFICE OF

See specific agency e.g., THRIFT SUPERVISION OFFICE (OTS)

OFFICERS

OIL AND GAS

See also ENERGY
– Accounting

– – Fraud, SEC files suit against CFOs and vendor over aging debt (E.D. La.), 1377
– – Standards, FASB seeks comments on update, 1757

– Biofuels, misrepresentations by executive support inference of scienter (S.D. Tex.), 1579
– Boiler room operator agrees to preliminary bar (N.D. Tex.), 1829
– Commodity forward agreements may be exempt from bankruptcy trustee avoidance powers (4th Cir.), 318
– Derivative action, no presuit demand made on oil field services company board for claims based on FCPA settlement (S.D. Tex.), 1075
– Evaluation reports containing material misrepresentations, motion to dismiss declined (N.D. Tex.), 1361
– Exchange traded fund under CFTC probe for trading in crude oil, 430
– Exploratory wells, shareholder suit re prospects of finding gas in Poland dismissed (D. Utah), 1305
– Extraction projects, investor may proceed with fraud and contract breach claims (Del. Ch.), 627
– Foreign Corrupt Practices Act

– – Iraq, firms settle claims re Oil for Food kickbacks (D.D.C.), 10
– – Nigeria, Halliburton settles charges re bribes, 157; record fines to be paid (S.D. Tex.), 256; employees of subsidiary indicted, 403

– Fraudulent offerings, receiver named in SEC action (N.D. Tex.), 19
– Futures

– – Amaranth, settlement re wholesale natural gas market manipulation rejected by FERC, 319; settlement with SEC also ends FERC proceeding (S.D.N.Y.), 1549
– – Excessive speculation, bill to prevent

See LEGISLATION, FEDERAL, S 1225

– – Natural gas, market manipulation claims dismissed for failure to plead intent (S.D. Tex.), 1700
– – Position limits, Gensler sets CFTC hearing for energy futures, 1330; industry groups urge caution, 1332; Gensler says CFTC must consider mandating position limits, 1461; Gensler says statute mandates speculation limits, 1500
– – Significant price discovery, CFTC exercising enhanced authority to determine if ICE listing performs function, 1123; order finds contract merits greater oversight, 1462
– – UK, Senators ask CFTC to revoke no-action letter allowing “lookalike” contract in U.S., 1332

– Hedge fund, settlement re wholesale natural gas market manipulation rejected by FERC, 319
– Host country health and environment report, Chevron may not omit proposal (SEC No-Action Letter), 684
– IPO, claim against services company for material misrepresentation may go forward (S.D. Tex.), 165
– Leases, '34 Act claim re misstatements and omissions reinstated (5th Cir), 345
– Netherlands, settlement cleared for claims re Royal Dutch Shell reserves inflation, 1064
– Off-exchange trading fraud, default order entered (N.D. Ga.), 1640
– Ponzi scheme, firm sentenced and restitution ordered (S.D. Ill.), 867
– Reporting violations, synthetic fuels company and officers charged (S.D. Fla.), 1337
– Reserves reporting, SEC approves rules to modernize, 5; guidance proposed to align with SEC rule, 1464
– Shareholder looting, presuit demand on board conceded director independence, claims dismissed (Del. Ch.), 884
– Speculation, state utility commissioners cite as reason for 2008 fuel price spike, 320
– Subsidiary, no causation in misrepresentation claims against energy company re spin-off, summary judgment affirmed (10th Cir.), 291
– Wholesale markets, group objects to FTC assertion of jurisdiction, 1030

OPTIONS

– Arbitration award to investors who relied on broker statements at odds with offering documents was not improper (C.D. Cal.), 1165
– Best execution, nonspecific SEC report is insufficient to support claim (2d Cir.), 408
– Commodities futures, assets frozen in fraud scheme (W.D. Mo.), 1375
– Fraudulent solicitations, charges settled (S.D. Fla.), 1424
– Off-exchange trading fraud, default order entered (N.D. Ga.), 1640
– Penny pricing, NYSE Arca to expand pilot, 1788
– Ponzi scheme using call options, SEC files charges (D. Haw.), 1068
– Short sales, options traders settle SEC claims of naked short selling (SEC), 1477

OTS

See THRIFT SUPERVISION OFFICE (OTS)

OVER THE COUNTER MARKET

– Derivatives

See DERIVATIVES

– Equities

See PENNY STOCKS

– Swaps

See SWAPS