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 publication below for more information.