Investment Management Regulatory Update - July 2010
Industry Update
- House Passes Dodd-Frank Wall Street Reform and Consumer Protection Act
- Effect of the U.S. Financial Reform Legislation on Foreign Investment Adviser Registration
- SEC Denies No-Action Relief, Requiring Broker-Dealer Registration for Entity Providing Investor Referral Services
- Staff Provides Guidance on Recent Amendments to the Money Market Fund Rule
- Financial Crisis Inquiry Commission’s “Hedge Fund Industry Market Risk Survey”
- SEC Discusses Examination and Enforcement Developments
SEC Rules and Regulations
- SEC Adopts Rule to Curb “Pay-to-Play” Practices
Litigation
- Hedge Fund Manager Settles Insider Trading Case with the SEC
- Federal District Court Dismisses Suit Challenging Asset-Based Compensation Paid to Mutual Fund Distributor
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