Investment Management Law
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Recent Posts
Court Upholds Permanent Bar Even Though Rules Changed
Thursday, February 23, 2012
FINRA Considering Adding More Information to BrokerCheck
Wednesday, February 22, 2012
SEC Raises Bar for Charging Performance Fees
Tuesday, February 21, 2012
New CFTC Rule Will Require CPO Registration for Many Fund Managers
Tuesday, February 14, 2012
Mid-Sized Advisers with Fewer than 5 Clients Must Register with the SEC
Monday, February 13, 2012
Managers of 3(c)(1) Funds in Massachusetts Must Register by August 3
Friday, February 10, 2012
SEC Files Notice of RIA Cancellation for Insufficient Assets
Thursday, February 09, 2012
BD to Pay $1 Million Fine for Requiring Employees to Waive Arbitration
Wednesday, February 08, 2012
Fund Service Provider Employees Do Not Get SOX Whistleblower Protection
Tuesday, February 07, 2012
SEC's di Florio Calls Out Senior Management and Boards
Monday, February 06, 2012
Recent Comments
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NYS Attorney General Says that Law Firm Introductions Required BD Registration
10/14/2010
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NYS Attorney General Says that Law Firm Introductions Required BD Registration
10/14/2010
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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 September 2010
Website and ADV Must Disclose Enforcement Order Charging Conflict of Interest
Posted by Todd Cipperman at
9/30/2010 5:36 AM
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Private Equity Exec to Pay Nearly $1 Million for Over-Valuing Investments
Posted by Todd Cipperman at
9/29/2010 6:26 AM
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SEC Defines Churning by the Numbers
Posted by Todd Cipperman at
9/28/2010 6:43 AM
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SEC Shuts Down Adviser Because of its Weak Compliance Program
Posted by Todd Cipperman at
9/27/2010 6:28 AM
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Firm Hit for Allowing Long and Short Positions in Same Securities
Posted by Todd Cipperman at
9/24/2010 6:12 AM
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Khuzami Says SEC Reviewing Bonds, Problem Advisers, and Fund Fees
Posted by Todd Cipperman at
9/23/2010 5:01 AM
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FINRA Mandates More Due Diligence Before Recommending Munis
Posted by Todd Cipperman at
9/21/2010 5:38 AM
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SEC Proposes More Short-Term Borrowing Disclosures in MD&A
Posted by Todd Cipperman at
9/20/2010 6:55 AM
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GC Exonerated in Failure to Supervise Case
Posted by Todd Cipperman at
9/17/2010 7:05 AM
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CCO Fined and Suspended for Firm’s Quote-Stuffing
Posted by Todd Cipperman at
9/15/2010 5:45 AM
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SEC Rules that Activities, Not Title, Determine Regulatory Status
Posted by Todd Cipperman at
9/14/2010 5:13 AM
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FINRA Wants Complete Termination Details in U5s
Posted by Todd Cipperman at
9/10/2010 7:20 AM
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SEC Pursues Multi-Strat Manager for Claiming Safety and Diversification
Posted by Todd Cipperman at
9/8/2010 5:45 AM
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Court Requires Showing of Stock Price Movement to Allow Class Action
Posted by Todd Cipperman at
9/7/2010 7:00 AM
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Municipal Advisors and Solicitors Must Register By October 1
Posted by Todd Cipperman at
9/3/2010 7:22 AM
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SEC Sanctions BD and President/CCO for Customer Identification Failures
Posted by Todd Cipperman at
9/2/2010 7:33 AM
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