INDUSTRY UPDATE

  • Changes to New York Law Governing Powers of Attorney Effective September 1, 2009
  • SEC, CFTC Hold Joint Meetings on Regulatory Harmonization
  • SEC, FINRA Issue Warning to Retail Investors About Risks of Leveraged, Inverse ETFs
  • SEC Grants No-Action Relief to Foreign Funds
  • IRS Extends FBAR Filing Deadline

SEC RULES AND REGULATIONS

  • SEC Proposes Alternative Uptick Rule
  • SEC Adopts Regulation S-AM Limiting Affiliate Marketing to Consumers

LITIGATION

  • Options Traders and Broker-Dealers Settle SEC Charges of “Naked” Short Sale Rule Violations

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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