Topics:

New Rules, Proposed Rules and Guidance

• SEC and CFTC Propose Rules to Help Prevent and Detect Identity Theft
• SEC Adopts Adjustment to Dollar Amount Thresholds and Rule Amendments Relating to Investment Adviser Performance Fees
• CFTC Adopts Final Amendments to Rule 4.5
• NYSE Further Limits Broker Discretion to Vote Uninstructed Shares
• OCIE Publishes Risk Alert Regarding the Use of Social Media by Investment Advisers
• SEC Adopts New Net Worth Standard for Accredited Investors

Litigation

• Seventh Circuit Affirms Dismissal with Prejudice of State Law Breach of Fiduciary Duty Action Preempted by SLUSA

Enforcement Actions

• SEC Charges UBS Global Asset Management with Pricing Violations
• SEC Files Complaint Against Former Evergreen Portfolio Manager

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