Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights October 4, 2011 Client Update Tighter Circuit Breakers in Equities Markets The stock markets have proposed to tighten the market-wide circuit breakers that halt trading in the equity markets. The p... September 19, 2011 Client Update Investment Management Regulatory Update - September 2011 On August 31, 2011, the SEC issued a concept release (the “Derivatives Concept Release”) soliciting public comment on ... September 7, 2011 Client Update Federal Reserve Interim Final Rule Adopts Regulations for Savings and Loan Holding Companies On August 12, 2011, the Board of Governors of the Federal Reserve System (the “Board”) issued an interim final rule se... September 2, 2011 Client Update SEC Seeks Public Comment on Mutual Fund Derivatives Use and Asset-Backed Issuers and Mortgage-Related Pools under the Investment Company Act On August 31, 2011, the SEC issued (i) a concept release (the “Derivatives Concept Release”) soliciting public comment... August 12, 2011 Client Update Investment Management Regulatory Update - August 2011 SEC Rules and Regulations SEC Adopts Large Trader Reporting Rule Industry Update SEC Issues No-Action Letter Regar... August 1, 2011 Client Update SEC Adopts Large Trader Reporting Requirements On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registratio... July 13, 2011 Client Update Investment Management Regulatory Update - July 2011 On July 12, 2011, the SEC issued an order (the “Order”) that raises the dollar amount thresholds in the assets-under-m... June 29, 2011 Client Update SEC Issues Final Rules Implementing Dodd-Frank Amendments to the Investment Advisers Act of 1940 On June 22, 2011, the SEC issued final rules and rule amendments to implement provisions of Title IV of the Dodd-Frank Wal... June 13, 2011 Client Update Supreme Court Limits False Statement Liability Under Rule 10b-5 To Those Who Actually Make Misstatements On June 13, 2011, the U.S. Supreme Court issued an important decision clarifying the scope of liability for “making” f... June 10, 2011 Client Update Investment Management Regulatory Update - June 2011 SEC Rules and Regulations * SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings Industry ... Load More
October 4, 2011 Client Update Tighter Circuit Breakers in Equities Markets The stock markets have proposed to tighten the market-wide circuit breakers that halt trading in the equity markets. The p...
September 19, 2011 Client Update Investment Management Regulatory Update - September 2011 On August 31, 2011, the SEC issued a concept release (the “Derivatives Concept Release”) soliciting public comment on ...
September 7, 2011 Client Update Federal Reserve Interim Final Rule Adopts Regulations for Savings and Loan Holding Companies On August 12, 2011, the Board of Governors of the Federal Reserve System (the “Board”) issued an interim final rule se...
September 2, 2011 Client Update SEC Seeks Public Comment on Mutual Fund Derivatives Use and Asset-Backed Issuers and Mortgage-Related Pools under the Investment Company Act On August 31, 2011, the SEC issued (i) a concept release (the “Derivatives Concept Release”) soliciting public comment...
August 12, 2011 Client Update Investment Management Regulatory Update - August 2011 SEC Rules and Regulations SEC Adopts Large Trader Reporting Rule Industry Update SEC Issues No-Action Letter Regar...
August 1, 2011 Client Update SEC Adopts Large Trader Reporting Requirements On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registratio...
July 13, 2011 Client Update Investment Management Regulatory Update - July 2011 On July 12, 2011, the SEC issued an order (the “Order”) that raises the dollar amount thresholds in the assets-under-m...
June 29, 2011 Client Update SEC Issues Final Rules Implementing Dodd-Frank Amendments to the Investment Advisers Act of 1940 On June 22, 2011, the SEC issued final rules and rule amendments to implement provisions of Title IV of the Dodd-Frank Wal...
June 13, 2011 Client Update Supreme Court Limits False Statement Liability Under Rule 10b-5 To Those Who Actually Make Misstatements On June 13, 2011, the U.S. Supreme Court issued an important decision clarifying the scope of liability for “making” f...
June 10, 2011 Client Update Investment Management Regulatory Update - June 2011 SEC Rules and Regulations * SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings Industry ...