Nora M. Jordan

SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Requests Information to Inform Consideration of Uniform Fiduciary Standard for Broker-Dealers and Investmen...

On May 2, 2013, the Securities and Exchange Commission (the “SEC”) settled charges that the five trustees (the “Trustees”) of two registered series trusts (the “Trusts”), the ...

On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distributors, Inc. setting forth guidance regarding the use of pre-incep...

SEC Rules and Regulations CFTC and SEC Adopt Identity Theft Rules SEC Staff Responds to Inquiries About Filing Requirements for Certain Electronic Communications

Asset managers are gearing up to comply with many Dodd-Frank-mandated swap regulations in the coming months.

SEC Rules and Regulations SEC Staff Responds to Questions About Form PF Industry Update SEC Issues Risk Alert Identifying Significant Deficiencies in Compliance with the Custody R...

As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulatory oversight. As the markets respond to these new regulations, t...

SEC Rules and Regulations  SEC Issues Guidance on New Iran Disclosure Requirements SEC Extends No-Action Relief to Broker-Dealers Who Rely on Registered Investment Advisers to Perform...

SEC Rules and Regulations SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives SEC Extends Temporary Rule 206(3)-3T Regarding Principal Transactions wit...

SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Releases Guidance on Advisers Act Exemption for CFTC-Registered Investment Advisers that Advise Private Fun...