Investment Management Regulatory Update
Client Newsletter

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SEC Rules and Regulations 

  • SEC Issues Proposal to Eliminate General Solicitation Ban
  • SEC Staff Responds to a Question About Preserving Client Anonymity on Item 7.B. of Form ADV

Industry Update

  • CFTC Issues Guidance on CPO/CTA Registration and Compliance Obligations
  • Statement by SEC Chairman on Money Market Reform
  • SEC Announces its First Award under its Whistleblower Program
  • House Passes Bill Seeking to Tighten SEC and CFTC Cost-Benefit Analysis


  • Second Circuit Relaxes Standard to Prove Aiding and Abetting Liability in SEC Enforcement Actions
  • SEC Announces Deferred Prosecution Agreement with Investment Fund
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