Corporate and Financial Weekly Digest - April 30, 2010

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In this issue:

*SEC/CORPORATE

..SEC Announces Filing Fee Increases for FY 2011

*BROKER DEALER

..SEC Approves Reporting of Asset-Backed Securities Transactions to TRACE

..SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution

*PRIVATE INVESTMENT FUNDS

..ABA Letter Argues Dodd Bill Would Limit Rule 506 Offerings

*CFTC

..Futures Industry Association Releases Market Access Risk Management Recommendations

..CFTC Determines Seven Contracts Traded on ICE Are Significant Price Discovery Contracts

*LITIGATION

..Sixth Circuit Rules That Officer/Director Bar Is Not Punitive

..Court Refuses to Take Judicial Notice of Securities Violations in Related Action

*BANKING

..FDIC Proposes Change to Deposit Insurance Assessment System

*EXECUTIVE COMPENSATION AND ERISA

..Investment Adviser Convicted of Defrauding Employee Benefit Plan

*UK DEVELOPMENTS

..FSA Fines Commerzbank for Transaction Reporting Failures

Please see full newsletter below for more information.

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Published In: General Business Updates, Finance & Banking Updates, International Trade Updates, Labor & Employment Updates, Securities Updates

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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