Corporate and Financial Weekly Digest - May 14, 2010

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In This Issue:

*SEC/CORPORATE

..SEC, CFTC Announce Establishment of Joint Advisory Committee on Emerging Regulatory Issues

*BROKER DEALER

..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

*OTC DERIVATIVES

..Judge Overseeing Lehman Brothers Bankruptcy Cases Issues Decision on Setoff in Bankruptcy and Directs Swedbank AB to Surrender Post-Petition Deposits

*CFTC

..CFTC Issues Advisory Regarding Intraday Position Limit Violations

..CFTC Permits Direct Access to Imarex Electronic Terminals within the U.S.

*LITIGATION

..Venue Improper Despite Defendant's Significant Sales, Advertising

..True Financial Condition Securities Claims Survive Summary Judgment

*BANKING

..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.

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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.

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