In This Issue:
..SEC, CFTC Announce Establishment of Joint Advisory Committee on Emerging Regulatory Issues
..SEC Commissioner Issues Statement Supporting Fiduciary Duty for Broker-Dealers Who Provide Investment Advice
..CBOE Harmonizes Guarantee and Profit Sharing, Customer Confirmation and Options Communications Rules with FINRA Rules
*PRIVATE INVESTMENT FUNDS
..Senators Propose Wall Street Reform Bill Amendment to Restrict High-Risk Proprietary Trading
..Judge Overseeing Lehman Brothers Bankruptcy Cases Issues Decision on Setoff in Bankruptcy and Directs Swedbank AB to Surrender Post-Petition Deposits
..CFTC Issues Advisory Regarding Intraday Position Limit Violations
..CFTC Permits Direct Access to Imarex Electronic Terminals within the U.S.
..Venue Improper Despite Defendant's Significant Sales, Advertising
..True Financial Condition Securities Claims Survive Summary Judgment
..FDIC Releases Proposed Rule Regarding Reporting Requirements for Certain Large Insured Depository Institutions
*EXECUTIVE COMPENSATION AND ERISA
..Target Date Retirement Fund Investor Bulletin Issued by DOL and SEC
Please see full newsletter below for more information.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.