Investment Management Regulatory Update - January 2011
In this issue of the Investment Management Regulatory Update:
SEC Rules and Regulations - SEC Extends Expiration Date for Temporary Rule on Principal Trades with Certain Advisory Clients
Industry Update - President Obama Signs Into Law the Regulated Investment Company Modernization Act of 2010 - NASAA Proposes Model Rule for the Exemption of Private Fund Advisers from State Registration - SEC Extends No-Action Relief for an FCM that Custodies Assets for Registered Funds for Cleared CDS Transactions
Litigation - Recent New York “Pay-to-Play” Enforcement Actions
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.
Copy link to share post