Nora M. Jordan

On June 20, 2006, the SEC adopted three new rules — Rules 12d1-1, 12d1-2 and 12d1-3 (collectively, the “New Rules”) — and amended five registration statement forms — Forms N-1A,...

On May 2, 2006, the SEC announced the settlement of insider trading charges against hedge fund adviser Deephaven Capital Management, LLC (“Deephaven”) and its former portfolio manager...

Enforcement Actions … … … …1 Litigation … … … … … … …8 Industry Update … … … … …10

SEC Rules & Regulations … … . .1 SEC Enforcement Actions … … . .4 Litigation … … … … … … …8 Industry Update … … … … …12

SEC Enforcement Actions … … . .1 NASD Developments … … … . .4 Industry Update … … … … … .5

SEC Interpretations: No-Action Letters … … … … . .1 SEC Enforcement Actions … … . .6 NASD Developments … … … .13 Industry Update … … … … …14

SEC Interpretations … … …… .1 SEC Enforcement Actions … . .. .3 Litigation … … … … … … …6 NASD Developments … … … .7 NYSE Developments … … … .8 In...

SEC Rules & Regulations … … . .1 Litigation … … … … … … …3 SEC Interpretations: No-Action Letters … … . .6 SEC Enforcement Actions … … . .8 NASD Developments...

SEC Rules & Regulations … … . .1 Enforcement Actions … … … …2 Industry Updates … … … … …5

SEC Enforcement Actions … … . .1 NASD Developments … … … . .2 Litigation … … … … … … …3 Industry Updates … … … … …4