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
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NYS Attorney General Says that Law Firm Introductions Required BD Registration
10/14/2010
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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 November 2010
FINRA Expands Regulation of IPO Allocations
Posted by Todd Cipperman at
11/30/2010 7:04 AM
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SEC Proposes Swap Reporting Rules
Posted by Todd Cipperman at
11/29/2010 7:07 AM
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SEC Proposes Narrow Definition of “Venture Capital Fund” for Registration Exemption
Posted by Todd Cipperman at
11/23/2010 7:03 AM
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SEC Proposal Outlines State/Federal Registration, Private Fund Disclosure, and New ADV
Posted by Todd Cipperman at
11/21/2010 10:32 PM
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Managing Principal of Private Equity Firm to Pay $6.2 Million in Fines/Disgorgement
Posted by Todd Cipperman at
11/19/2010 7:22 AM
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CCO and Firm Sanctioned for Violations of Compliance Rules
Posted by Todd Cipperman at
11/18/2010 7:00 AM
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SEC Staff Says that 1940 Act Trumps State Takeover Statute
Posted by Todd Cipperman at
11/17/2010 7:11 AM
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BD President Sanctioned for Failing to Manage Back-Office Ops
Posted by Todd Cipperman at
11/16/2010 6:12 AM
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DoL to Require Expanded Investment Option Disclosure for DC Plans
Posted by Todd Cipperman at
11/15/2010 6:33 AM
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FINRA Warns Firms to Assess Liquidity Risk Management
Posted by Todd Cipperman at
11/12/2010 7:17 AM
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Firm Fined $650,000 for Late U4 Filings
Posted by Todd Cipperman at
11/10/2010 7:04 AM
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FINRA Wants SRO for RIAs
Posted by Todd Cipperman at
11/9/2010 6:47 AM
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SEC/DOJ Argue that Fund Sponsors are Liable for Prospectus Statements
Posted by Todd Cipperman at
11/8/2010 7:11 AM
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SEC Proposes Broad Anti-Fraud Rule for Security-Based Swaps
Posted by Todd Cipperman at
11/5/2010 6:10 AM
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SEC Proposes Expansive Whistleblower Rule
Posted by Todd Cipperman at
11/4/2010 5:14 AM
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IM Staff Says that Boards Cannot Delegate Review of Affiliate Transactions to CCO
Posted by Todd Cipperman at
11/3/2010 6:10 AM
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Fund Sponsor Fined for Failing to Comply with Custody Rule
Posted by Todd Cipperman at
11/2/2010 5:31 AM
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SEC Asks Whether Private Rights of Action Should Apply to Non-US Securities Transactions
Posted by Todd Cipperman at
11/1/2010 6:20 AM
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