2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents -

I. Supreme Court Case Review (October 2012 Term)

II. Rule 10b-5 Cases

III. Investment Adviser and Hedge Fund Cases

IV. Settlements

V. Commodities and Futures Litigation and Enforcement

VI. Recent SEC Policy and Regulatory Developments

VII. SEC Cooperation Program

VIII. BakerHostetler Securities Litigation and Regulatory Enforcement Contacts

- Welcome to the 2013 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we believe of interest to sophisticated general counsel, chief compliance officers and compliance departments, legal departments and members of the securities and commodities industries at financial institutions, private investment funds and public companies.

We issue this Securities Litigation and Enforcement Highlights Report at mid-year and shortly after year end. We hope you find the information and commentary useful and welcome your comments and suggestions. We encourage you to contact any of the practice team members listed at the end of the Report.

Please see full report below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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