SEC Rules and Regulations
SEC Adopts Amendments to the Custody Rule
SEC Extends Expiration Date for Temporary Rule on Principal Trades with Certain Advisory Clients
SEC Adopts Rule...
Litigation
Insider Trading Charges Brought Against Hedge Fund Manager Raj Rajaratnam, Galleon Management and Others
SEC Appeals Mark Cuban Insider Trading Decision
Industry Update
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SEC Rules and Regulations
SEC Adopts Interim Final Temporary Rule Requiring Money Market Fund Disclosure
Industry Update
Rep. Kanjorski Releases Private Fund Investment Advisers R...
INDUSTRY UPDATE
Changes to New York Law Governing Powers of Attorney Effective September 1, 2009
SEC, CFTC Hold Joint Meetings on Regulatory Harmonization
SEC, FINRA Issue Warning to...
LITIGATION
Two Decisions Highlight Uncertainty of Section 10(b) Liability
SEC Sanctions Ram Capital for Violating Broker Registration Requirements
SEC, Perry Capital Settle Disclosur...
On July 27, 2009, the Securities and Exchange Commission (“SEC”) adopted final Rule 204 of Regulation SHO (“Rule 204” or the “final rule”) under the Securities Exchange Act of...
On July 15, 2009, the Treasury Department released the proposed Private Fund Investment Advisers Registration Act of 2009 (the “Act”), which would implement portions of the financial ...
On July 10, 2009, the Treasury Department released the proposed Investor Protection Act of 2009 (the “Act”), which would, if enacted, implement portions of the financial reform propos...
In response to the turmoil that rippled through money market funds and credit markets last fall when the Reserve Primary Fund’s net asset value fell below $1.00 or “broke the buck,”...
