Investment Management Regulatory Update - November 2011
SEC Rules and Regulations
- SEC Adopts Private Fund Systemic Risk Reporting Rule
- SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Industry Update
- FSOC Issues Proposed Rules on Designation of Systemically Important Nonbank Financial Companies
- CFTC Adopts Final Position Limits for 28 Physical Commodity Futures, Options and Swaps
- FINRA Proposes New Rule 5123 Regarding Disclosure and Filing Obligations in Private Placements in Which FINRA Members Participate
- FINRA Releases Regulatory Notice on ETF Advertising Regulation
Litigation
- SEC Charges Former Private Equity Firm Partner with Misappropriation of Advisory Firm’s Investment Opportunity
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