Rules and Regulations

  • SEC Issues Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
  • FDIC and OCC Approve Final Amendments to Volcker Rule Regulations.
  • SEC Expands “Testing the Waters” Communications

Industry Update

  • OCIE Issues Risk Alert Regarding Principal and Agency Cross Trading Compliance Issues

Litigation

  • Second Circuit Concludes Investment Company Act Creates an Implied Private Right of Action

Broker-Dealer Settles with SEC for Failure to Supervise Trader Involved in Premium Point Fund Fraud

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