SLUSA Does Not Dispatch Mutual Fund Misrepresentation Class Action, Third Circuit Says: Taksir v. The Vanguard Group
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By David C. Franceski, Jr.

*In order to be “in connection with” the purchase or sale of a covered security under SLUSA,

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Commodity Futures Trader Collects Full Fee From Flinching Friend: Stevens v. S.W.L.H.S. Investment Partners
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By Christopher G. Lazarini

*A commodity futures contract is not a “security” under Ohio law. **A commodity pool operator may be exempt from registration if the pool has less than 15 participants and the total gross capital contributions received by the operator for units in the pool do not exceed $400,000.

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