Rules and Regulations
- SEC Issues Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
- FDIC and OCC Approve Final Amendments to Volcker Rule Regulations.
- SEC Expands “Testing the Waters” Communications
- OCIE Issues Risk Alert Regarding Principal and Agency Cross Trading Compliance Issues
- Second Circuit Concludes Investment Company Act Creates an Implied Private Right of Action
Broker-Dealer Settles with SEC for Failure to Supervise Trader Involved in Premium Point Fund Fraud