In This Issue:
..SEC Proposes Amendments to NASDAQ Listing Rules
..SEC’s Chief Accountant Testifies on Developments in Accounting and Auditing Standards
..DTCC to Provide FINRA Access to Participant Position Reports
..FINRA Proposes Registration and Qualification Requirements for Certain Operations Personnel
..Motion to Dismiss Lehman-Related Securities Class Action Denied
..Court Imposes Rule 11 Sanctions Pursuant to the PSLRA
..Supreme Court Issues Important Ruling for Joint Venturers and IP Licensing Groups
*EXECUTIVE COMPENSATION AND ERISA
..Department of Labor Drafts Unemployment Compensation Integrity Act of 2010
..FSA Imposes Ban and Highest-Ever Fine on Individual
..FSA Bans Former Broker Employee for Fraud
..Offshore Funds Practice Manual Issued
Please see full newsletter below for more information.
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