Topics:

New Rules, Proposed Rules and Guidance

• SEC Adopts Whistleblower Rules under the Dodd-Frank Act
• SEC Proposes Adjustment to Dollar Amount Thresholds and Rule Amendment Relating to Investment Adviser Performance Fees
• FINRA Proposes New Rules Governing Fund Cash Compensation Disclosure
• FINRA Proposes New Rule Regarding Outsourcing to Third-Party Service Providers
• SEC Proposes Rule Amendments to Remove Credit Rating References From Money Market Fund and Other Rules

Other News

• FASB Issues Accounting Standards Update on Fair Value Measurement
• SEC to Consider Extending Compliance Deadlines for Mid-Sized and Private Advisers until First Quarter 2012
• SEC Staff Issues No-Action Letter on Funds Placing Assets in the Custody of Credit Default Swap Clearinghouse

Litigation

• Court Rules in Favor of Eaton Vance in Lawsuit Over Payments to Distributors

Enforcement Actions

• Court Rules in Favor of Eaton Vance in Lawsuit Over Payments to Distributors
• SEC Charges Brokerage Executives with Failing to Protect Confidential Customer Information
• SEC Charges Adviser with Misrepresentations
• SEC Charges Adviser and Officers for Undisclosed Financial Benefits

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