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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
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Investment Management Law: Monthly Archives for December 2009
Top 10 Regulatory Alerts - Distribution and Broker-Dealers 2009
Posted by Todd Cipperman at
12/28/2009 7:33 AM
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Top 10 Regulatory Alerts - Compliance and Operations 2009
Posted by Todd Cipperman at
12/28/2009 7:29 AM
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Top 10 Regulatory Alerts - Funds 2009
Posted by Todd Cipperman at
12/28/2009 7:26 AM
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BD Fined for Target Performance in PPMs
Posted by Todd Cipperman at
12/24/2009 7:07 AM
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Inter-Dealer Broker to Pay $25 Million for Displaying False Orders and Proprietary Trading
Posted by Todd Cipperman at
12/23/2009 6:27 AM
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Adviser Under Scrutiny for Allocating Trades to Proprietary Accounts
Posted by Todd Cipperman at
12/22/2009 7:01 AM
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Adviser to Pay $2 Million for Failing to Monitor Client Allocations
Posted by Todd Cipperman at
12/21/2009 7:14 AM
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SEC Votes to Adopt New Self-Custody Rules
Posted by Todd Cipperman at
12/18/2009 6:37 AM
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New Disclosure Rules for Fund Directors and Boards
Posted by Todd Cipperman at
12/17/2009 7:05 AM
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House Passes Legislation Requiring Private Fund Adviser Registration and Fiduciary Standard for Brokers
Posted by Todd Cipperman at
12/14/2009 7:10 AM
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CP Facility Contemplated for Mutual Fund Loans
Posted by Todd Cipperman at
12/11/2009 6:22 AM
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SEC Enforcement Director Calls Out Audit Committee Members
Posted by Todd Cipperman at
12/10/2009 6:58 AM
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SEC Provides 2009 Enforcement Data
Posted by Todd Cipperman at
12/8/2009 6:39 AM
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FINRA Proposes New Compliance Exam Along with Other Changes to Registration/Qualification Requirements
Posted by Todd Cipperman at
12/7/2009 6:54 AM
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Regulatory Update 2009
Posted by Todd Cipperman at
12/6/2009 9:18 AM
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Investment Industry Seminar
Posted by Todd Cipperman at
12/6/2009 9:12 AM
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FINRA Proposal Would Clarify Payments to Unregistered Persons
Posted by Todd Cipperman at
12/3/2009 6:47 AM
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Class Action Claims that RIA Had Due Diligence Obligation for Recommended Funds
Posted by Todd Cipperman at
12/2/2009 7:32 AM
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Regulatory Actions Will Be Permanently Accessible on BrokerCheck
Posted by Todd Cipperman at
12/1/2009 6:35 AM
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