Corporate and Financial Weekly Digest - May 28, 2010

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In This Issue:

*SEC/CORPORATE

..SEC Proposes Amendments to NASDAQ Listing Rules

..SEC’s Chief Accountant Testifies on Developments in Accounting and Auditing Standards

*BROKER DEALER

..DTCC to Provide FINRA Access to Participant Position Reports

..FINRA Proposes Registration and Qualification Requirements for Certain Operations Personnel

*LITIGATION

..Motion to Dismiss Lehman-Related Securities Class Action Denied

..Court Imposes Rule 11 Sanctions Pursuant to the PSLRA

*ANTITRUST

..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

*UK DEVELOPMENTS

..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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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.

© Katten Muchin Rosenman LLP | Attorney Advertising

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