Corporate and Financial Weekly Digest - March 12, 2010

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In This Issue:

*LITIGATION

..Group Pleading Improper in CFTC Enforcement Action

..Summary Judgment on Fiduciary Duty of Disclosure Claim Vacated

*BROKER DEALER

..Historic TRACE Data to Become Available March 31

..SEC to Make Mid-Year Rate Adjustment for Exchange Act Section 31 Fees

*PRIVATE INVESTMENT FUNDS

..CFTC Chairman Testifies on OTC Derivatives Reform

..Senators Introduce PROP Trading Act Similar to “Volcker Rule” Proposal

*OTC DERIVATIVES

*CFTC

..Supreme Court Rejects Appeal of Ruling That Manager of a Feeder Fund is a Commodity Pool Operator

..CFTC Allows Funds Managed by Commonly Controlled Entities to “Designate” CPO

*INVESTMENT COMPANIES AND INVESTMENT ADVISERS

..SEC Updates Custody Rule FAQ

*BANKING

..FinCEN Issues Guidance Requiring Financial Institutions to Obtain Beneficial Ownership Information in Certain Cases

*EXECUTIVE COMPENSATION AND ERISA

..DOL Issues Proposed Rule Relating to Investment Advice in Individual Account Plans

*UK DEVELOPMENTS

..Retired Senior Trader Jailed for Insider Dealing

..FSA Publishes New Financial Penalties Framework

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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