On June 13, 2011, the U.S. Supreme Court issued an important decision clarifying the scope of liability for “making” false statements under Section 10(b) of the Securities Exchange Ac...
SEC Rules and Regulations
* SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings
Industry Update
* FINRA Delays Implementation of Rule 5131(b) Prohibition...
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...
Yesterday seven federal agencies jointly finalized a proposed rule under Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act that would subject financial institut...
A proposed rule issued under Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act would subject financial institutions with $1 billion of assets to substantive and...
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...
