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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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NYS Attorney General Says that Law Firm Introductions Required BD Registration
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Donohue Says that BD Registration is Required for Private Fund Intermediaries
9/9/2010
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FINRA Proposes Simplified Rule Governing Personal Securities Transactions
8/26/2010
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NY AG Sues Adviser Alleged to Have Suspected Madoff Fraud Back in 1997
8/26/2010
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SEC Charges Private Equity Execs with Securities Fraud
8/26/2010
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FINRA Proposes New Compliance Exam Along with Other Changes to Registration/Qualification Requirements
8/23/2010
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Ketchum Wants Firms to Segregate Advisory Activities
7/22/2010
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Ketchum Wants Firms to Segregate Advisory Activities
6/23/2010
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FINRA Expands Regulatory Jurisdiction to NYSE
5/5/2010
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Investment Management Law: Monthly Archives for May 2010
FINRA Proposes Licensing of Operations Personnel
Posted by Todd Cipperman at
5/27/2010 5:54 AM
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Large BD Fined $700,000 for Failing to Retain E-Mails
Posted by Todd Cipperman at
5/26/2010 5:14 AM
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Cost-Basis Calculation Service Need Not Register as BD
Posted by Todd Cipperman at
5/25/2010 5:48 AM
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New Financial Fraud Task Force Will Seek Criminal Penalties
Posted by Todd Cipperman at
5/23/2010 5:48 AM
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Schapiro Wants Assessment of State Securities Laws Before Transferring Adviser Oversight
Posted by Todd Cipperman at
5/20/2010 6:05 AM
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SEC Says that Introducing Capital Requires BD Registration
Posted by Todd Cipperman at
5/19/2010 6:04 AM
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NY AG Sues Adviser Alleged to Have Suspected Madoff Fraud Back in 1997
Posted by Todd Cipperman at
5/18/2010 6:39 AM
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FINRA Fines Two BDs for Short Sale Violations
Posted by Todd Cipperman at
5/16/2010 11:25 PM
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Shareholder Proposal to Convert Closed-End Fund Must be Included in Proxy
Posted by Todd Cipperman at
5/14/2010 5:36 AM
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Mutual Fund Portfolio Manager Sued for Tipping Family Members
Posted by Todd Cipperman at
5/13/2010 6:13 AM
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Donohue Says SEC is Considering IFRS for Fund Industry
Posted by Todd Cipperman at
5/12/2010 5:17 AM
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Auditor of Madoff Feeder Wins Motion to Dismiss Claims
Posted by Todd Cipperman at
5/11/2010 6:30 AM
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FINRA Wants ADV for Broker-Dealers
Posted by Todd Cipperman at
5/10/2010 6:04 AM
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CCO Fined and Suspended for Failing to Supervise
Posted by Todd Cipperman at
5/7/2010 5:12 AM
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FINRA Expands Regulatory Jurisdiction to NYSE
Posted by Todd Cipperman at
5/5/2010 5:33 AM
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Connecticut AG Sues Custodian for Madoff Feeder Funds
Posted by Todd Cipperman at
5/4/2010 6:46 AM
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SEC Official Concerned about Conflicts in Fixed Income Trading
Posted by Todd Cipperman at
5/3/2010 6:30 AM
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