SEC Rules and Regulations
* SEC Proposes Rule Adjusting Performance Fee Asset Thresholds in the Definition of “Qualified Client”
Industry Update
* Banking Regulators and the CFTC P...
The Dodd-Frank Act may require many currently unregistered non-U.S. investment advisers to register with the SEC as investment advisers, because the Act eliminates a registration exemptio...
Breaking News on Dodd-Frank Private Adviser Registration Deadline
SEC to Consider Delaying Dodd-Frank Private Adviser Registration Deadline Until First Quarter 2012
SEC Rules and Regul...
On January 26, 2011, the SEC and the CFTC (the “Commissions”) jointly released proposed new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 (the “Advi...
In this issue of the Investment Management Regulatory Update:
SEC Rules and Regulations - SEC Extends Expiration Date for Temporary Rule on Principal Trades with Certain Advisory Clients...
On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer...
On November 19, 2010, the SEC issued a release (the “Implementing Release”) in which it proposed rules and rule amendments, including various amendments to Form ADV, to implement cert...
On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer...
SEC Rules and Regulations
SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act
SEC Requests Comment on President’s Working Group Study of Money Market Fund Refo...
