Title

Investment Management Regulatory Update
Client Newsletter

Created date

9/3/2009

INDUSTRY UPDATE

  • Changes to New York Law Governing Powers of Attorney Effective September 1, 2009
  • SEC, CFTC Hold Joint Meetings on Regulatory Harmonization
  • SEC, FINRA Issue Warning to Retail Investors About Risks of Leveraged, Inverse ETFs
  • SEC Grants No-Action Relief to Foreign Funds
  • IRS Extends FBAR Filing Deadline

SEC RULES AND REGULATIONS

  • SEC Proposes Alternative Uptick Rule
  • SEC Adopts Regulation S-AM Limiting Affiliate Marketing to Consumers

LITIGATION

  • Options Traders and Broker-Dealers Settle SEC Charges of "Naked" Short Sale Rule Violations
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