• Goodwin Procter to Co-Host Compliance Seminar; Host Pre-conference Cocktail Party
• SEC Staff Provides No-Action Relief Regarding Brochure Delivery Element of Cash Solicitation Requirements for Adviser Engaging in Co-Branded Mass-Mailing Campaign
• FinCEN, SEC Issue Guidance Concerning CIP Responsibilities in Securities Lending Transactions under Agency Lending Disclosure Initiative
• DOL Issues Field Assistance Bulletin Clarifying Duties and Responsibilities under ERISA Regarding Mutual Fund Settlement Proceeds to Plans and Plan Participants
• DOL Issues Prohibited Transaction Exemption Permitting the Extension of Credit by IRAs with Uninvested Cash Balances Held in Broker/Dealer Accounts to Broker/Dealers of Those Accounts
• House Subcommittee Chairman Baker Sends Letter to SEC Regarding Delays Resulting from the SEC Approval Process for ETFs
• SEC to Replace Certain Paper Effectiveness Orders with Electronic Notifications of Effectiveness