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
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
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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
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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 October 2010
FINRA Requires More Marketing Materials to be Filed
Posted by Todd Cipperman at
10/29/2010 5:22 AM
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FINRA Considering Broker-Dealer ADV
Posted by Todd Cipperman at
10/28/2010 6:08 AM
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No-Action Relief Allows Private Funds to Retain Current Auditors
Posted by Todd Cipperman at
10/27/2010 6:23 AM
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FINRA Conducting Sweep Exams for Public Plan Solicitors
Posted by Todd Cipperman at
10/26/2010 7:41 AM
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DoL Proposes Expansion of “Fiduciary” Definition
Posted by Todd Cipperman at
10/25/2010 6:13 AM
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Department of Labor Sues Madoff Feeders and Managers
Posted by Todd Cipperman at
10/22/2010 6:14 AM
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FINRA Notifies Firms about Commodity-Linked Securities
Posted by Todd Cipperman at
10/21/2010 6:15 AM
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SEC Sues Hedge Fund Manager for Over-Valuing Side-Pocket Securities
Posted by Todd Cipperman at
10/20/2010 7:30 AM
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SEC Proposal Requires Institutional Managers to Report Certain Proxy Votes
Posted by Todd Cipperman at
10/19/2010 6:28 AM
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New Firm Element Training Includes Broad Range of Compliance Topics
Posted by Todd Cipperman at
10/18/2010 8:01 AM
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California Requires Solicitors to Register as Lobbyists and Prohibits Contingent Compensation
Posted by Todd Cipperman at
10/15/2010 6:27 AM
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NYS Attorney General Says that Law Firm Introductions Required BD Registration
Posted by Todd Cipperman at
10/14/2010 5:10 AM
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SEC Proposed Rule Would Exclude Single Family Offices from Advisers Act
Posted by Todd Cipperman at
10/13/2010 5:43 AM
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No-Action Letter Affirms that 28(e) Research Provider is Not Investment Adviser
Posted by Todd Cipperman at
10/12/2010 6:07 AM
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RIA Accused of Misleading Clients into Wrap Program
Posted by Todd Cipperman at
10/7/2010 6:01 AM
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Audit Firm Censured/Fined for Negligent Surprise Custody Exams
Posted by Todd Cipperman at
10/5/2010 5:40 AM
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Adviser Prosecuted for Filing with SEC without $25 Million AUM
Posted by Todd Cipperman at
10/4/2010 6:51 AM
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SEC Pursues Product Manager and CIO for Bond Fund Misreps
Posted by Todd Cipperman at
10/1/2010 6:09 AM
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