Investment Management Regulatory Update

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SEC Rules and Regulations 

  • SEC Votes to Adopt New Proxy Access Rules

Industry Update

  • Technical Corrections and Revisions to New York Law Governing Powers of Attorney Effective September 12, 2010
  • SEC Issues No-Action Letter Temporarily Relieving Money Market Funds from NRSRO Designation Obligations
  • SEC Announces the Expiration of Temporary Rule 206(3)-3T
  • ABA Task Force Completes Report on Fund Use of Leverage and Derivatives; SEC Hopes to Take Action by Year’s End
  • Securities Regulators Update Report on Best Practices for Firms Serving Senior Investors


  • Second Circuit Upholds the Constitutionality of Connecticut’s “Pay-to-Play” Law As It Relates to Contractors and their Families