Title

Investment Management Regulatory Update
Client Newsletter

Created date

1/13/2011

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

Industry Update - President Obama Signs Into Law the Regulated Investment Company Modernization Act of 2010 - NASAA Proposes Model Rule for the Exemption of Private Fund Advisers from State Registration - SEC Extends No-Action Relief for an FCM that Custodies Assets for Registered Funds for Cleared CDS Transactions

Litigation - Recent New York “Pay-to-Play” Enforcement Actions