Investment Management Regulatory Update - November 2009
Litigation
- Insider Trading Charges Brought Against Hedge Fund Manager Raj Rajaratnam, Galleon Management and Others
- SEC Appeals Mark Cuban Insider Trading Decision
Industry Update
- House Financial Services Committee Approves Private Fund Investment Advisers Registration Act
- House Financial Services Committee Approves Investor Protection Act
- New Developments Regarding Pay-to-Play Arrangements
- SEC No-Action Letter Allows for Greater Outsourcing of Recordkeeping by Investment Advisers
- Bulldog Investors Loses Hedge-Fund Advertising Case
- SEC Clarifies Interpretation of Sections 13(d) and 13(g) of the Exchange Act
- SEC and CFTC Release Joint Report on Harmonization of Regulation
SEC Rules and Regulations
- SEC Removes References to NRSRO Ratings from Certain Investment Company Act Rules and Reopens Comment Period Regarding Additional NRSRO References in Investment Company Act and Investment Advisers Act Rules
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