Investment Management Regulatory Update
Client Newsletter

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SEC Rules and Regulations 

  • SEC Grants No-Action Relief to Exclude Tax Blocker from Definition of Investment Company
  • SEC Grants No-Action Relief from Surprise Examinations to Investment Advisers to 529 Plans

Industry Update

  • CFTC Provides Temporary Registration Relief to CPOs and CTAs that are Required to Register Solely Because of their Swap Activities; NFA Issues Notice that CPOs Relying on Rule 4.13(a)(4) Can Now Pre-file a Rule 4.7 Exemption
  • FINRA Rule 5123 Regarding Filing Obligations in Private Placements to Take Effect on December 3, 2012


  • SEC Finds “In-Kind” Contributions Violate Pay-to-Play Rules
  • SEC Settles Charges Against Investment Advisers for Failure to Disclose Revenue Sharing Arrangement and Other Conflicts of Interest
  • Supreme Court to Address the Statute of Limitations for SEC Penalty Claims
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