Topics:

New Rules, Proposed Rules and Guidance

• 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

• Mutual Fund Directors Forum and eSecLending Issue Practical Guidance on Securities Lending Programs

Enforcement Actions

• SEC Settles Charges Against Oppenheimer for Misleading Statements Regarding Derivatives Use and Exposure During Financial Crisis
• Four Firms Sanctioned by FINRA for Sales of Leveraged and Inverse ETFs

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