Title

Investment Management Regulatory Update

Created date

11/11/2009

Litigation

  • Insider Trading Charges Brought Against Hedge Fund Manager Raj Rajaratnam, Galleon Management and Others
  • SEC Appeals Mark Cuban Insider Trading Decision

Industry Update

  • House Financial Services Committee Approves Private Fund Investment Advisers Registration Act
  • House Financial Services Committee Approves Investor Protection Act
  • New Developments Regarding Pay-to-Play Arrangements
  • SEC No-Action Letter Allows for Greater Outsourcing of Recordkeeping by Investment Advisers
  • Bulldog Investors Loses Hedge-Fund Advertising Case
  • SEC Clarifies Interpretation of Sections 13(d) and 13(g) of the Exchange Act
  • SEC and CFTC Release Joint Report on Harmonization of Regulation

SEC Rules and Regulations

  • SEC Removes References to NRSRO Ratings from Certain Investment Company Act Rules and Reopens Comment Period Regarding Additional NRSRO References in Investment Company Act and Investment Advisers Act Rules
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