Investment Management Regulatory Update
Client Newsletter

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Breaking News on Enforcement Activity

  • Hedge Funds Under Scrutiny for Bets Against the Euro SEC Rules and Regulations
  • SEC Adopts Amendments to Money Market Fund Rules
Industry Update
  • New Developments Regarding Pay-to-Play Arrangements
  • Treasury Proposes “Volcker Rule” Legislative Text
  • FINRA Offers Guidance on Members’ Use of Social Media Websites
  • Investment Advisory Firm Executive Settles Charges of Insider Trading in Shares of a Mutual Fund
  • State Street Charged with Misleading Investors About Sub-Prime Mortgage Investments
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