Investment Management Regulatory Update - November 2012
SEC Rules and Regulations
- SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients
Industry Update
- SEC Announces Presence Exams of Newly Registered Investment Advisers
- Additional Guidance Extends FATCA Deadlines and Expands the Scope of “Grandfathered” Obligations
- Investor Advisory Committee Submits Recommendations to the SEC on the SEC’s Proposal to Eliminate the General Solicitation Ban
- SEC Staff Issues Report on Authority to Enforce the Anti-Evasion Rule Under Section 12(g) of the Exchange Act
- NFA Waives Series 3 Proficiency Exam Requirement for Associated Persons of Certain Registered CPOs and CTAs
- Speech by SEC Chairman on New Technology Initiatives to Detect Suspicious Trading
Litigation
- SEC Charges Hedge
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