NEWSLETTER

CAPISConnect, our monthly email newsletter, is designed to keep you abreast of the happenings here at CAPIS and also in the industry as a whole. If you need further information on any of the items discussed, please contact your CAPIS representative.

July 2010                    CAPIS 2010 DC Public Policy Investor Forum Recap

June 2010                   SEC Proposing New Rules to Prevent Repeat of                                       May 6th "Flash Crash"

May 2010                     SEC Guidance on Research & Brokerage Services                                       under Section 28(e)

April 2010                    CAPIS 2010 Healthcare Investor Forum Recap

March 2010                 SEC Adopts New Short Selling Rules

February 2010            Understanding the Housing Market

January 2010              Asset Manager Disclosure Obligations to                                       ERISA Plans

December 2009         New Trends in Transaction Cost Analysis

November 2009         New Guidance Released for Form 5500

October 2009              New Universal Trading Platform / NYSE to Begin                                        Trading NASDAQ Stocks / Changes Coming to                                        Imbalance Postings

September 2009        Changes in the Research Landscape / Growth                                        of Independent Research / Outlook for                                        Investment Research Report

August 2009                Market Buzz

July 2009                     CAPIS Expecting New SEC Guidance

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