Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights February 25, 2013 Client Update Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“I... February 15, 2013 Client Update FINRA Requests Comment on Proposed Rules Governing Markups, Commissions and Fees On January 31, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice requesting comme... February 12, 2013 Articles & Books New Committees Can Help Boards Tackle Tough January 24, 2013 Articles & Books CCOs Must Take Heed of Morgan Keegan Valuation Case January 23, 2013 Client Update FINRA Issues Voluntary Interim Form for Crowdfunding Portals On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective c... 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... Load More
February 25, 2013 Client Update Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“I...
February 15, 2013 Client Update FINRA Requests Comment on Proposed Rules Governing Markups, Commissions and Fees On January 31, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice requesting comme...
January 23, 2013 Client Update FINRA Issues Voluntary Interim Form for Crowdfunding Portals On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective c...
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...