SEC Rules and Regulations
SEC Votes to Adopt New Proxy Access Rules
Industry Update
Technical Corrections and Revisions to New York Law Governing Powers of Attorney Effective Sep...
SEC Rules and Regulations
SEC Proposes New Rules Governing Mutual Fund Distribution Fees
SEC Adopts Amendments to Part 2 of Form ADV
Industry Update
SEC Provides Guidance on Deri...
Industry Update
House Passes Dodd-Frank Wall Street Reform and Consumer Protection Act
Effect of the U.S. Financial Reform Legislation on Foreign Investment Adviser Registration
SEC ...
The following slides show the effective dates for various agency rulemakings required, and statutory amendments made, by the Dodd-Frank Wall Street Reform and Consumer Protection Act, ena...
With the President’s signature on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“the Act”) is law of the land. The Act marks the greatest legislative...
Industry Update
Senate Passes Restoring American Financial Stability Act
Recent Developments Regarding the EU Directive on Alternative Investment Fund Managers
California Attorney Ge...
On May 20, 2010, the Senate passed the Restoring American Financial Stability Act of 2010 (the “Senate bill” or the “bill”) by a vote of 59 to 39. Four Republicans voted with the ...
Breaking News on Enforcement
Side Pocket Arrangements, Valuation Under SEC Investigation
Litigation
Court Rules Whistleblower Protections of the Sarbanes-Oxley Act Applicable to E...
On April 14, 2010, the Securities and Exchange Commission (the “SEC”) proposed a new rule to establish a large trader reporting system.1 The rule would require large traders of exchan...
Litigation
Supreme Court Ruling in Mutual Fund Excessive Fee Case Generally Endorses Gartenberg Standard
Federal District Court Denies SLUSA Preemption for State Law Claims Involving ...
