Citing a need to better protect and inform mutual fund investors, the Securities and Exchange Commission (“SEC”) proposed on July 21, 2010 to replace Rule 12b-1 under the Investment C...
The “Volcker Rule,” which is a key component of the Dodd-Frank Wall Street Reform and Consumer Protection Act, prohibits any “banking entity” from engaging in proprietary trading,...
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...
Breaking News on Enforcement
Side Pocket Arrangements, Valuation Under SEC Investigation
Litigation
Court Rules Whistleblower Protections of the Sarbanes-Oxley Act Applicable to E...
The swift and unexpected collapse of Lehman Brothers revealed serious shortcomings in the traditional prime brokerage model. Lehman Brothers’ prime brokerage clients faced considerable ...
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 ...
Breaking News on Enforcement Activity
Hedge Funds Under Scrutiny for Bets Against the Euro SEC Rules and Regulations
SEC Adopts Amendments to Money Market Fund Rules
Industry Update...
