Topics:

Litigation

• District Court Permits Shareholder Litigation Against Oppenheimer to Continue

New Rules, Proposed Rules and Guidance

• SEC Adopts Reporting Obligations for Advisers to Private Funds
• SEC Issues Concept Release Relating to the Use of Derivatives by Investment Companies
• FINRA Issues Additional Guidance on Social Media Websites

Other News

• ICI and IDC Issue White Paper on Board Oversight of Risk Management
• SEC Staff Issues "Pay-to-Play" No-Action Relief for Advisers to Registered Funds

Enforcement Actions

• SEC Orders FINRA to Hire Independent Consultant and Undertake Remedial Measures Related to Records Integrity and Document Production
• SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading in Securities Underlying an ETF

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