Investment Management Regulatory Update - February 2015
SEC Rules and Regulations
- SEC Proposes Hedging Disclosure Rule
Industry Update
- Electronic Blue Sky Notice Filings for Regulation D Offerings
- Office of Compliance Inspections and Examinations Releases Cybersecurity Examination Sweep Summary
- Investment Management Director Norm Champ Leaves SEC; David Grim Named as Acting Director
Litigation
- SEC Grants Second Exemption from Rule 506(d) Disqualification
- Two SEC Commissioners Issue Dissenting Statement Regarding Exemption from Rule 506(d) Disqualification
- UBS Subsidiary Charged with Disclosure and Other Regulatory Violations in Operating Dark Pool
- SEC Charges Mutual Fund Adviser in Connection with Improper Handling of Assets
- SEC Charges Shelton Financial Group for Hiding Payments to Broker-Dealer
This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.
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