Title

Investment Management Regulatory Update
Client Newsletter

Created date

1/7/2010
SEC Rules and Regulations
  • SEC Adopts Amendments to the Custody Rule
  • SEC Extends Expiration Date for Temporary Rule on Principal Trades with Certain Advisory Clients
  • SEC Adopts Rule Amendments Requiring Increased Disclosure Regarding Leadership of Registered Management Investment Companies
  • Revisions to Regulation D on the SEC’s Regulatory Agenda
Industry Update
  • Private Fund Investment Advisers Registration Act Included in Sweeping Financial Reform Legislation Passed by the House of Representatives
  • Extension of Temporary Stock Dividend Rules for Publicly Traded RICs and REITs
  • Proposed Legislative Changes to the RIC Rules
  • SEC Inspector General Recommends Changes to Process for Selecting Investment Advisers and Investment Companies for Examination
  • Developments Regarding Pay-to-Play Practices
  • SEC Discusses its Regulatory Reform Agenda for 2010
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