Investment Management Regulatory Update - April 2011
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 Regulations
SEC Proposes Amendments to Remove Credit Rating References to Certain Investment Company Act Rules and Forms
Industry Update
New Form SLT Reporting Requirements Applicable to Funds and Investment Managers Proposed by U.S. Department of Treasury
SEC’s Division of Investment Management Issues Responses to Questions Concerning Part 2 of Form ADV
SEC’s Division of Investment Management Answers Questions Concerning Pay-to-Play Rule
SEC to Bring Cases Against Mutual Funds for Inappropriate Fees
Litigation
SEC Charges Hedge Fund Manager with Securities Fraud for Misappropriating “Side Pocketed” Assets
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