On December 10, 2012, the Securities and Exchange Commission (the “SEC”) charged eight former directors (the “Directors”) of five Morgan Asset Management (“MAM”) registered in...
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...
SEC Rules and Regulations
SEC Grants No-Action Relief to Exclude Tax Blocker from Definition of Investment Company
SEC Grants No-Action Relief from Surprise Examinations to Investmen...
Many companies voluntarily impose a “blackout period” beginning around the time a quarter ends and continuing through the quarter’s earnings announcement or subsequent 10-Q or 10-K ...
SEC Rules and Regulations
SEC Issues Proposal to Eliminate General Solicitation Ban
SEC Staff Responds to a Question About Preserving Client Anonymity on Item 7.B. of Form ADV
Indu...
On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising and other forms of “general solicitation” in private offering...
On July 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued additional responses (the “Responses”) to frequently asked que...
On July 10, 2012, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued a no-action letter that will extend until December 31, 2012 relief from registration as a commodity...
On June 8, 2012 and June 29, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued responses (the “Responses”) to frequently ask...
On June 8, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued responses (the “Responses”) to two questions regarding reportin...
