Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights January 22, 2013 Client Update Investment Management Regulatory Update - January 2013 SEC Rules and Regulations SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives SEC Exte... January 3, 2013 Client Update SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees On December 21, 2012, the SEC unanimously adopted rules required by the Dodd-Frank Act that require broker-dealers and cer... December 20, 2012 Client Update Investment Management Regulatory Update - December 2012 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Releases Guidance on Advisers Act Exemptio... December 17, 2012 Client Update SEC Charges Mutual Fund Directors for Inadequate Valuation Oversight On December 10, 2012, the Securities and Exchange Commission (the “SEC”) charged eight former directors (the “Direct... November 27, 2012 Client Update Investment Management Regulatory Update - November 2012 SEC Rules and Regulations SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Cer... November 19, 2012 Client Update Treasury Issues FX Swap and FX Forward Exemption On November 16, 2012, the Secretary of the Treasury issued a much awaited determination that foreign exchange (“FX”) s... October 17, 2012 Client Update Investment Management Regulatory Update - October 2012 SEC Rules and Regulations SEC Grants No-Action Relief to Exclude Tax Blocker from Definition of Investment Company SE... September 26, 2012 Client Update Investment Management Regulatory Update - September 2012 SEC Rules and Regulations SEC Issues Proposal to Eliminate General Solicitation Ban SEC Staff Responds to a Question ... September 12, 2012 Client Update CFTC Clarifies Swap Dealer Registration Timing On September 10, 2012, in response to market uncertainty, the CFTC issued FAQs clarifying the timing of swap dealer regist... September 4, 2012 Client Update SEC Issues Proposal to Eliminate General Solicitation Ban as Mandated by the JOBS Act On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising ... Load More
January 22, 2013 Client Update Investment Management Regulatory Update - January 2013 SEC Rules and Regulations SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives SEC Exte...
January 3, 2013 Client Update SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees On December 21, 2012, the SEC unanimously adopted rules required by the Dodd-Frank Act that require broker-dealers and cer...
December 20, 2012 Client Update Investment Management Regulatory Update - December 2012 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Releases Guidance on Advisers Act Exemptio...
December 17, 2012 Client Update SEC Charges Mutual Fund Directors for Inadequate Valuation Oversight On December 10, 2012, the Securities and Exchange Commission (the “SEC”) charged eight former directors (the “Direct...
November 27, 2012 Client Update Investment Management Regulatory Update - November 2012 SEC Rules and Regulations SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Cer...
November 19, 2012 Client Update Treasury Issues FX Swap and FX Forward Exemption On November 16, 2012, the Secretary of the Treasury issued a much awaited determination that foreign exchange (“FX”) s...
October 17, 2012 Client Update Investment Management Regulatory Update - October 2012 SEC Rules and Regulations SEC Grants No-Action Relief to Exclude Tax Blocker from Definition of Investment Company SE...
September 26, 2012 Client Update Investment Management Regulatory Update - September 2012 SEC Rules and Regulations SEC Issues Proposal to Eliminate General Solicitation Ban SEC Staff Responds to a Question ...
September 12, 2012 Client Update CFTC Clarifies Swap Dealer Registration Timing On September 10, 2012, in response to market uncertainty, the CFTC issued FAQs clarifying the timing of swap dealer regist...
September 4, 2012 Client Update SEC Issues Proposal to Eliminate General Solicitation Ban as Mandated by the JOBS Act On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising ...