Topics:

New Rules, Proposed Rules and Guidance

• SEC Proposes Rules to Implement JOBS Act Provisions for Elimination of Prohibitions Against General Solicitation in Private Offerings
• SEC and CFTC Adopt Further Definitions of Swap and Related Terms
• CFTC Extends Compliance Date for CPO and CTA Registration
• SEC Staff Provides Informal Guidance to ICI on Fund Names Using "International" and "Global"
• FINRA Adopts Amended Rules Regarding Member Communications with the Public

Other News

• PCAOB Adopts Standard on Auditor Communications with Audit Committees
• PCAOB Issues Guidance on Inspection Process

Enforcement Actions

• SEC Charges Former Adviser to NASCAR Mutual Fund with Securities Law Violations
• SEC Settles Charges Against Oppenheimer for Misleading Statements Regarding Derivatives Use and Exposure During Financial Crisis

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