Investment Management Regulatory Update
Client Newsletter

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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