Investment Management Regulatory Update - February 2015
Client Newsletter

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SEC Rules and Regulations

  • SEC Proposes Hedging Disclosure Rule

Industry Update

  • Electronic Blue Sky Notice Filings for Regulation D Offerings
  • Office of Compliance Inspections and Examinations Releases Cybersecurity Examination Sweep Summary
  • Investment Management Director Norm Champ Leaves SEC; David Grim Named as Acting Director


  • SEC Grants Second Exemption from Rule 506(d) Disqualification
  • Two SEC Commissioners Issue Dissenting Statement Regarding Exemption from Rule 506(d) Disqualification
  • UBS Subsidiary Charged with Disclosure and Other Regulatory Violations in Operating Dark Pool
  • SEC Charges Mutual Fund Adviser in Connection with Improper Handling of Assets
  • SEC Charges Shelton Financial Group for Hiding Payments to Broker-Dealer
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