Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights November 11, 2009 Client Update Investment Management Regulatory Update - November 2009 Litigation Insider Trading Charges Brought Against Hedge Fund Manager Raj Rajaratnam, Galleon Management and Others SE... November 9, 2009 Client Update Investor Protection Act Passes House Financial Services Committee The Investor Protection Act passed the House Financial Services Committee (the “Committee”) on November 4, 2009 on a p... October 9, 2009 Client Update Investment Management Regulatory Update - October 2009 SEC Rules and Regulations SEC Adopts Interim Final Temporary Rule Requiring Money Market Fund Disclosure Industry Upd... October 6, 2009 Client Update Representative Kanjorski Releases Investor Protection, Private Investment Fund Advisers Registration and Federal Insurance Office Proposals A discussion draft of legislation to regulate the over-the-counter (“OTC”) derivatives markets (the “Draft Bill”) ... September 23, 2009 Client Update IRS Releases Internal Memorandum Regarding Lending in the United States by Foreign Persons The Internal Revenue Service (the “IRS”) has released an internal memorandum (the “Memorandum”), from the Office o... 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... Load More
November 11, 2009 Client Update Investment Management Regulatory Update - November 2009 Litigation Insider Trading Charges Brought Against Hedge Fund Manager Raj Rajaratnam, Galleon Management and Others SE...
November 9, 2009 Client Update Investor Protection Act Passes House Financial Services Committee The Investor Protection Act passed the House Financial Services Committee (the “Committee”) on November 4, 2009 on a p...
October 9, 2009 Client Update Investment Management Regulatory Update - October 2009 SEC Rules and Regulations SEC Adopts Interim Final Temporary Rule Requiring Money Market Fund Disclosure Industry Upd...
October 6, 2009 Client Update Representative Kanjorski Releases Investor Protection, Private Investment Fund Advisers Registration and Federal Insurance Office Proposals A discussion draft of legislation to regulate the over-the-counter (“OTC”) derivatives markets (the “Draft Bill”) ...
September 23, 2009 Client Update IRS Releases Internal Memorandum Regarding Lending in the United States by Foreign Persons The Internal Revenue Service (the “IRS”) has released an internal memorandum (the “Memorandum”), from the Office o...
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...