On January 26, 2011, the SEC and the CFTC (the “Commissions”) jointly released proposed new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 (the “Advi...
In this issue of the Investment Management Regulatory Update:
SEC Rules and Regulations - SEC Extends Expiration Date for Temporary Rule on Principal Trades with Certain Advisory Clients...
On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer...
On November 19, 2010, the SEC issued a release (the “Implementing Release”) in which it proposed rules and rule amendments, including various amendments to Form ADV, to implement cert...
On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer...
SEC Rules and Regulations
SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act
SEC Requests Comment on President’s Working Group Study of Money Market Fund Refo...
On October 5, 2010, President Obama signed into law legislation that repeals Section 929I of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), whic...
SEC Rules and Regulations
SEC Votes to Adopt New Proxy Access Rules
Industry Update
Technical Corrections and Revisions to New York Law Governing Powers of Attorney Effective Sep...
Last year, New York State enacted significant amendments to Title 15 of Article 5 of the New York General Obligations Law governing powers of attorney executed by individuals in New York ...
SEC Rules and Regulations
SEC Proposes New Rules Governing Mutual Fund Distribution Fees
SEC Adopts Amendments to Part 2 of Form ADV
Industry Update
SEC Provides Guidance on Deri...
