Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Amends Net Worth Standard for Individual Accredited Investors
  • SEC Schapiro Seeks Authority to Impose Larger Penalties for Securities Law Violations

Industry Update

  • Federal Reserve Issues Proposed Rules on Enhanced Prudential Standards for Large Bank Holding Companies and Systemically Important Nonbank Financial Companies


  • New Initiative to Evaluate Hedge Fund Returns Leads to Four SEC Enforcement Actions
  • SEC Settles Charges Against Three Investment Advisers for Compliance Failures
  • Second Circuit Upholds the Constitutionality of New York City "Pay-to-Play" Law