Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights January 13, 2011 Client Update Investment Management Regulatory Update - January 2011 In this issue of the Investment Management Regulatory Update: SEC Rules and Regulations - SEC Extends Expiration Date for... December 17, 2010 Client Update Investment Management Regulatory Update - December 2010 On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisi... November 24, 2010 Client Update SEC Issues Proposal Implementing Advisers Act Registration and Reporting Amendments Under the Dodd-Frank Act On November 19, 2010, the SEC issued a release (the “Implementing Release”) in which it proposed rules and rule amendm... November 24, 2010 Client Update SEC Proposes Rules Implementing New Exemptions from Advisers Act Registration Under the Dodd-Frank Act On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisi... November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for... November 12, 2010 Client Update Investment Management Regulatory Update - November 2010 SEC Rules and Regulations SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act SEC Requests Comme... November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets... November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def... October 20, 2010 Client Update SEC Proposes Say-on-Pay Rules for Companies and Proxy Vote Reporting Rules for Investment Managers On October 18, 2010, the SEC proposed rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer ... October 15, 2010 Client Update SEC and CFTC Adopt Interim Final Rules on Reporting and Recordkeeping for Pre-Dodd-Frank Swaps The SEC and the CFTC have adopted substantially similar interim final rules concerning the reporting of swaps and security... Load More
January 13, 2011 Client Update Investment Management Regulatory Update - January 2011 In this issue of the Investment Management Regulatory Update: SEC Rules and Regulations - SEC Extends Expiration Date for...
December 17, 2010 Client Update Investment Management Regulatory Update - December 2010 On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisi...
November 24, 2010 Client Update SEC Issues Proposal Implementing Advisers Act Registration and Reporting Amendments Under the Dodd-Frank Act On November 19, 2010, the SEC issued a release (the “Implementing Release”) in which it proposed rules and rule amendm...
November 24, 2010 Client Update SEC Proposes Rules Implementing New Exemptions from Advisers Act Registration Under the Dodd-Frank Act On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisi...
November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for...
November 12, 2010 Client Update Investment Management Regulatory Update - November 2010 SEC Rules and Regulations SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act SEC Requests Comme...
November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets...
November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def...
October 20, 2010 Client Update SEC Proposes Say-on-Pay Rules for Companies and Proxy Vote Reporting Rules for Investment Managers On October 18, 2010, the SEC proposed rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer ...
October 15, 2010 Client Update SEC and CFTC Adopt Interim Final Rules on Reporting and Recordkeeping for Pre-Dodd-Frank Swaps The SEC and the CFTC have adopted substantially similar interim final rules concerning the reporting of swaps and security...