Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights 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 ... June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ... June 7, 2011 Client Update SEC Whistleblower Rules: What You Need to Know The SEC has now issued rules implementing the Dodd-Frank whistleblower bounty provisions, ushering in a radically new comp... May 17, 2011 Client Update 60 Days - Over 175 New Derivatives Provisions On July 16, 2011—60 days from now—over 175 new Dodd-Frank derivatives provisions automatically go into effect. Many of... Load More
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 ...
June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ...
June 7, 2011 Client Update SEC Whistleblower Rules: What You Need to Know The SEC has now issued rules implementing the Dodd-Frank whistleblower bounty provisions, ushering in a radically new comp...
May 17, 2011 Client Update 60 Days - Over 175 New Derivatives Provisions On July 16, 2011—60 days from now—over 175 new Dodd-Frank derivatives provisions automatically go into effect. Many of...