Topics:

Litigation

• District Court Permits Shareholder Litigation Against Oppenheimer to Continue

New Rules, Proposed Rules and Guidance

• SEC Adopts New Net Worth Standard for Accredited Investors
• SEC Adopts Reporting Obligations for Advisers to Private Funds

Enforcement Actions

• SEC Settles Charges Against Morgan Stanley Investment Management for Improper Subadvisory Fee Arrangement
• SEC Orders FINRA to Hire Independent Consultant and Undertake Remedial Measures Related to Records Integrity and Document Production

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