Investment Management Regulatory Update
Client Newsletter

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Industry Update 

  • Sen. Dodd Releases Restoring American Financial Stability Act of 2009
  • SEC Commissioner Aguilar Discusses Recent Legislative Proposals
  • Senate Committee Holds Hearing and Issues Report on Target Date Funds
  • SEC’s Donohue Discusses Closed-End Fund Takeover Defenses
  • Recent Enforcement Developments  Federal “Red Flags Rules” Enforcement Deadline is Pushed Back to June 1, 2010
  • Federal Regulatory Agencies Release Final Model Privacy Forms

SEC Rules and Regulations 

  • SEC Extends Compliance Date for Regulation S-AM
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