Title

Investment Management Regulatory Update
Client Newsletter

Created date

11/18/2011

SEC Rules and Regulations

  •  SEC Adopts Private Fund Systemic Risk Reporting Rule 
  •  SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 


Industry Update

  •  FSOC Issues Proposed Rules on Designation of Systemically Important Nonbank Financial Companies 
  •  CFTC Adopts Final Position Limits for 28 Physical Commodity Futures, Options and Swaps 
  •  FINRA Proposes New Rule 5123 Regarding Disclosure and Filing Obligations in Private Placements in Which FINRA Members Participate 
  •  FINRA Releases Regulatory Notice on ETF Advertising Regulation 


Litigation

  •  SEC Charges Former Private Equity Firm Partner with Misappropriation of Advisory Firm’s Investment Opportunity