Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights September 21, 2009 Client Update SEC Proposes to Ban “Flash” Orders; Announces Broad Review of Market Structure Issues In response to an outcry of criticism voiced by the public, Congress and regulators, on September 18, 2009, the Securities... September 3, 2009 Client Update Investment Management Regulatory Update - September 2009 INDUSTRY UPDATE Changes to New York Law Governing Powers of Attorney Effective September 1, 2009 SEC, CFTC Hold Joint ... August 31, 2009 Client Update Short Sales: SEC Staff Provides Guidance on Short Sale Order-Marking Issues, Updates Regulation SHO FAQs On August 28, 2009, the staff (the “Staff”) of the Division of Trading and Markets of the Securities and Exchange Comm... August 5, 2009 Client Update Investment Management Regulatory Update - August 2009 LITIGATION Two Decisions Highlight Uncertainty of Section 10(b) Liability SEC Sanctions Ram Capital for Violating Brok... July 28, 2009 Client Update Short Sales: SEC Adopts Final Rule 204, Allows Rule 10a-3T (Form SH) to Expire and Announces Other Short Sale Initiatives On July 27, 2009, the Securities and Exchange Commission (“SEC”) adopted final Rule 204 of Regulation SHO (“Rule 204... July 17, 2009 Client Update Private Fund Investment Advisers Registration Act On July 15, 2009, the Treasury Department released the proposed Private Fund Investment Advisers Registration Act of 2009 ... July 13, 2009 Client Update Investor Protection Act of 2009 On July 10, 2009, the Treasury Department released the proposed Investor Protection Act of 2009 (the “Act”), which wou... July 1, 2009 Client Update Investment Management Regulatory Update - July 2009 In response to the turmoil that rippled through money market funds and credit markets last fall when the Reserve Primary F... June 24, 2009 Client Update Extension of FBAR Filing Deadline for Certain Offshore Investments Informal comments by representatives of the IRS suggested for the first time on June 12, 2009 that investments in certain ... June 8, 2009 Client Update Investment Management Regulatory Update - June 2009 Pay-to-play arrangements involving payments to intermediaries to influence public pension fund investment decisions have r... Load More
September 21, 2009 Client Update SEC Proposes to Ban “Flash” Orders; Announces Broad Review of Market Structure Issues In response to an outcry of criticism voiced by the public, Congress and regulators, on September 18, 2009, the Securities...
September 3, 2009 Client Update Investment Management Regulatory Update - September 2009 INDUSTRY UPDATE Changes to New York Law Governing Powers of Attorney Effective September 1, 2009 SEC, CFTC Hold Joint ...
August 31, 2009 Client Update Short Sales: SEC Staff Provides Guidance on Short Sale Order-Marking Issues, Updates Regulation SHO FAQs On August 28, 2009, the staff (the “Staff”) of the Division of Trading and Markets of the Securities and Exchange Comm...
August 5, 2009 Client Update Investment Management Regulatory Update - August 2009 LITIGATION Two Decisions Highlight Uncertainty of Section 10(b) Liability SEC Sanctions Ram Capital for Violating Brok...
July 28, 2009 Client Update Short Sales: SEC Adopts Final Rule 204, Allows Rule 10a-3T (Form SH) to Expire and Announces Other Short Sale Initiatives On July 27, 2009, the Securities and Exchange Commission (“SEC”) adopted final Rule 204 of Regulation SHO (“Rule 204...
July 17, 2009 Client Update Private Fund Investment Advisers Registration Act On July 15, 2009, the Treasury Department released the proposed Private Fund Investment Advisers Registration Act of 2009 ...
July 13, 2009 Client Update Investor Protection Act of 2009 On July 10, 2009, the Treasury Department released the proposed Investor Protection Act of 2009 (the “Act”), which wou...
July 1, 2009 Client Update Investment Management Regulatory Update - July 2009 In response to the turmoil that rippled through money market funds and credit markets last fall when the Reserve Primary F...
June 24, 2009 Client Update Extension of FBAR Filing Deadline for Certain Offshore Investments Informal comments by representatives of the IRS suggested for the first time on June 12, 2009 that investments in certain ...
June 8, 2009 Client Update Investment Management Regulatory Update - June 2009 Pay-to-play arrangements involving payments to intermediaries to influence public pension fund investment decisions have r...