Investment Management Regulatory Update
Client Newsletter

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SEC Rules and Regulations

  • SEC Adopts Interim Final Temporary Rule Requiring Money Market Fund Disclosure

Industry Update

  • Rep. Kanjorski Releases Private Fund Investment Advisers Registration Act
  • Rep. Kanjorski Releases Investor Protection Act
  • FINRA Releases Proposed Amendment to Communications Rules
  • SEC Establishes New Division of Risk, Strategy, and Financial Innovation
  • Pay-to-Play Developments (New York and Federal)
  • Treasury Department’s Guarantee Program for Money Market Funds Expires as Planned
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