In This Issue:
*SEC/CORPORATE
..SEC Proposes Amendments to NASDAQ Listing Rules
..SEC’s Chief Accountant Testifies on Developments in Accounting and Auditing Standards
*BROKER DEALER
..DTCC to Provide FINRA Access to Participant Position Reports
..FINRA Proposes Registration and Qualification Requirements for Certain Operations Personnel
*LITIGATION
..Motion to Dismiss Lehman-Related Securities Class Action Denied
..Court Imposes Rule 11 Sanctions Pursuant to the PSLRA
*ANTITRUST
..Supreme Court Issues Important Ruling for Joint Venturers and IP Licensing Groups
*EXECUTIVE COMPENSATION AND ERISA
..Department of Labor Drafts Unemployment Compensation Integrity Act of 2010
*UK DEVELOPMENTS
..FSA Imposes Ban and Highest-Ever Fine on Individual
..FSA Bans Former Broker Employee for Fraud
..Offshore Funds Practice Manual Issued
Please see full publication below for more information.