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June 28, 2012

Three New Advisers Act SEC Enforcement Actions

Drew Clayton Peterson; IA-3426 Harbinger Capital Partners, LLC; IA-3424, 34-67279 Drew K. Brownstein; IA-3425

June 28, 2012

SEC Charges Long Island Software Company in Connection With Bribery Scheme (SEC Press Release)

The SEC charged that FalconStor Software, Inc., a Long Island, N.Y., data storage company, misled investors about bribes it paid to obtain business with a subsidiary of J.P. Morgan Chase Co. View press release in full here (links externally to SEC website).

June 28, 2012

Proposed NYSE Rule Change Amending the NYSE Price List (SEC Release)

View release in full here (links externally to SEC website).

June 28, 2012

NFA Guidance to Persons Operating or Advising Funds Pursuant to an Exemption under CFTC Regulation 4.13(a)(4)

Cross References: Dodd-Frank Title VI, Sections 404and 406; Dodd-Frank Title VII. View guidance in full here (links externally to NFA website).

June 28, 2012

Proposed NYSE Arca Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security (SEC Release)

View release in full here (links externally to SEC website).