LITIGATION

  • Two Decisions Highlight Uncertainty of Section 10(b) Liability
  • SEC Sanctions Ram Capital for Violating Broker Registration Requirements
  • SEC, Perry Capital Settle Disclosure Violation Charges
  • FINRA Fines Merrill Lynch, UBS over Closed-End Fund Sales

SEC RULES AND REGULATIONS

  • SEC Proposes Rule to Curb Pay-to-Play Practices
  • SEC Adopts Final Rule 204 and Announces Other Short Sale Initiatives

INDUSTRY UPDATE

  • Treasury Department Releases Private Fund Investment Advisers Registration Act
  • Treasury Department Releases Investor Protection Legislation
  • Donahue Testifies on Regulation of Private Funds
  • SEC Chairman Testifies Before Congress on Financial Regulatory Reform Proposals
  • SEC Calls for Eliminating Prohibition Against Price Competition Among Broker-Dealers Selling Mutual Funds
  • SEC Launches Investor Advisory Committee
  • Federal “Red Flags Rules” Compliance Date Is Pushed Back to November 1, 2009

If you have any questions regarding the matters covered in this publication, please reach out to any of the lawyers listed below or your usual Davis Polk contact.

This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.

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