Firm Memoranda

Recent Securities Regulatory Developments

Date: 04/03/07

A March 29, 2007 decision handed down by the NY Court of Appeals held that statements made by an employer on a National Association of Securities Dealers ("NASD") employee termination notice (U-5) are subject to an absolute privilege in a defamation suit.

40307_CGR_Memo - Recent Securities Regulatory Developments.pdf (pdf | 26.08 KB )