Investment Management Law
A Service of Cipperman & Company LLC (www.cipperman.com)
Back to Main Page
Quick Search
Search only in titles:
Keyword:
Search in:
Title
Title and Contents
Title and Comments
Title, Contents, Comments
Date Range:
1 week
2 weeks
1 month
3 months
All
Advanced Search
Basic Search
May 2012
Su
Mo
Tu
We
Th
Fr
Sa
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
Syndicate
Posts Atom 1.0
Comments Atom 1.0
Posts RSS 2.0
Comments RSS 2.0
Podcasts RSS 2.0
Monthly Archives
2012
May 2012 (16)
April 2012 (15)
March 2012 (13)
February 2012 (17)
January 2012 (15)
2011
December 2011 (16)
November 2011 (16)
October 2011 (16)
September 2011 (16)
August 2011 (11)
July 2011 (14)
June 2011 (18)
May 2011 (16)
April 2011 (11)
March 2011 (18)
February 2011 (17)
January 2011 (18)
2010
December 2010 (16)
November 2010 (18)
October 2010 (18)
September 2010 (16)
August 2010 (12)
July 2010 (15)
June 2010 (17)
May 2010 (17)
April 2010 (17)
March 2010 (16)
February 2010 (13)
January 2010 (16)
2009
December 2009 (19)
November 2009 (14)
October 2009 (20)
September 2009 (14)
August 2009 (13)
July 2009 (14)
June 2009 (15)
May 2009 (13)
April 2009 (14)
March 2009 (20)
February 2009 (17)
January 2009 (14)
2008
December 2008 (15)
November 2008 (13)
October 2008 (16)
September 2008 (17)
August 2008 (9)
July 2008 (13)
June 2008 (13)
May 2008 (17)
April 2008 (10)
Category Archives
Compliance and Operations (277)
Distribution and Broker-Dealers (156)
Funds (164)
General (13)
Recent Posts
SEC Charges Sponsor of Feeder Fund that Invested in Ponzi Scheme
Thursday, May 24, 2012
FINRA Says that Brokers Must Put Clients’ Interests First
Wednesday, May 23, 2012
Khuzami Defends and Explains SEC’s Settlement Practices
Monday, May 21, 2012
Best of the Web - May 2012
Friday, May 18, 2012
NYS’s Highest Court Rules that Compliance Officers Can’t Sue for Wrongful Termination
Thursday, May 17, 2012
OCIE’s Deputy Director Announces Exam Sweep of Private Fund Advisers
Wednesday, May 16, 2012
SEC Sues to Obtain Audit Work Papers from Chinese Firm
Tuesday, May 15, 2012
SEC Moves against Former Detroit Mayor and Investment Adviser for Kickbacks
Monday, May 14, 2012
Side-by-Side Management Leads to Charges against Fund Manager
Friday, May 11, 2012
Todd Cipperman Presents "Our Take" at ICI General Membership Meeting
Wednesday, May 09, 2012
Recent Comments
Todd Cipperman on
NYS Attorney General Says that Law Firm Introductions Required BD Registration
10/14/2010
Mark Sides on
NYS Attorney General Says that Law Firm Introductions Required BD Registration
10/14/2010
seo consulting experts on
Donohue Says that BD Registration is Required for Private Fund Intermediaries
9/9/2010
Binaural Beats on
FINRA Proposes Simplified Rule Governing Personal Securities Transactions
8/26/2010
Binaural Beats on
NY AG Sues Adviser Alleged to Have Suspected Madoff Fraud Back in 1997
8/26/2010
Binaural Beats on
SEC Charges Private Equity Execs with Securities Fraud
8/26/2010
Slama Pofer on
FINRA Proposes New Compliance Exam Along with Other Changes to Registration/Qualification Requirements
8/23/2010
company financial analysis on
Ketchum Wants Firms to Segregate Advisory Activities
7/22/2010
adviser investment management on
Ketchum Wants Firms to Segregate Advisory Activities
6/23/2010
Bill Alsover on
FINRA Expands Regulatory Jurisdiction to NYSE
5/5/2010
Subscribe
Tag Cloud
13F reporting confidentiality foia trade secrets
2009 summary distribution broker-dealers regulatory alert
2009 summary funds regulatory alert
36(b) excessive fee 12b-1 standard gartenberg
36b excessive fee court jones v harris
36b fundoffunds private right of action
8-K press release nasdaq closed end fund
abs disclosure rules
abs new legislation asset-backed securities
absolute return low correlation hedge options market neutral
accredited investor primary residence mortgage debt
adv part 2 instruction guidance
adv part 2b brochure supplement delivery
adviser examination sro sec staff recommendation
adviser registration eligibility
adviser registration review
adviser registration state jurisdiction assets under management
adviser regulation finra examination
finra examination priorities
revenue sharing disclosure broker-dealer
Investment Management Law: Monthly Archives for April 2009
BD Hit with Failure to Supervise Branch Office that Conducted Ponzi Scheme
Posted by Todd Cipperman at
4/30/2009 5:45 AM
|
Add Comment
BD to Pay for Customers’ Credit Monitoring as Remedy for Reg S-P Violations
Posted by Todd Cipperman at
4/29/2009 7:34 AM
|
Add Comment
SEC Sues Hedge Fund for Lying to Third Party Selling Agent
Posted by Todd Cipperman at
4/28/2009 8:28 AM
|
Add Comment
Hedge Fund Consultant Sanctioned for Not Conducting Proper Due Diligence
Posted by Todd Cipperman at
4/24/2009 6:11 AM
|
Add Comment
New York Comptroller Bans Solicitors
Posted by Todd Cipperman at
4/23/2009 6:15 AM
|
View Comments (1)
|
Add Comment
FINRA Proposes Simplified Rule Governing Personal Securities Transactions
Posted by Todd Cipperman at
4/22/2009 7:22 AM
|
View Comments (2)
|
Add Comment
Derivatives Blamed for Bond Fund Declines; Donohue Calls for More Regulation
Posted by Todd Cipperman at
4/20/2009 6:31 AM
|
Add Comment
Eighth Circuit Says Boards Should Compare Fund Fees with Institutional Accounts
Posted by Todd Cipperman at
4/17/2009 8:29 AM
|
View Comments (1)
|
Add Comment
SEC to Contact Clients to Verify Assets
Posted by Todd Cipperman at
4/8/2009 5:39 AM
|
Add Comment
Schapiro Says that SEC May Require Third Party Compliance Reviews
Posted by Todd Cipperman at
4/7/2009 6:24 AM
|
Add Comment
Donohue Takes Aim at $1.00 NAV for Money Funds
Posted by Todd Cipperman at
4/6/2009 6:14 AM
|
Add Comment
SEC Provides List of Fair Valuation Guidance
Posted by Todd Cipperman at
4/3/2009 4:48 AM
|
Add Comment
Massachusetts Charges Feeder Fund Manager with Securities Fraud for Investing in Madoff
Posted by Todd Cipperman at
4/2/2009 5:33 AM
|
Add Comment
Fund Distributor Barred From Industry for Blowing Regulation D and Failing to Conduct Due Diligence
Posted by Todd Cipperman at
4/1/2009 6:33 AM
|
Add Comment
