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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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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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 December 2010
Top 10 Regulatory Alerts - Distribution and Broker-Dealers 2010
Posted by Todd Cipperman at
12/30/2010 7:00 AM
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Top 10 Regulatory Alerts - Compliance and Operations 2010
Posted by Todd Cipperman at
12/28/2010 6:36 AM
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Top 10 Regulatory Alerts - Funds 2010
Posted by Todd Cipperman at
12/27/2010 7:31 AM
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Fund Tax Rules Changing
Posted by Todd Cipperman at
12/22/2010 6:46 AM
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SEC Proposes Municipal Advisor Registration and Disclosure Rules
Posted by Todd Cipperman at
12/21/2010 7:13 AM
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FINRA Releases 2010 Enforcement Stats
Posted by Todd Cipperman at
12/20/2010 6:59 AM
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NASAA Proposes State Registration for 3(c)(1) Fund Managers
Posted by Todd Cipperman at
12/17/2010 7:09 AM
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SEC Proposals Expand Swaps Regulation
Posted by Todd Cipperman at
12/16/2010 7:36 AM
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Federal Court Grants Summary Judgment to Fund Company in Excessive Fee Case
Posted by Todd Cipperman at
12/14/2010 7:09 AM
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Fund Company Not Liable for Market Timing Thanks to Good Faith Efforts
Posted by Todd Cipperman at
12/13/2010 7:10 AM
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Law Firm’s IT Pro Charged with Insider Trading
Posted by Todd Cipperman at
12/10/2010 6:48 AM
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Non-US Adviser to Pay $1.3 Million for Violating Rule 105
Posted by Todd Cipperman at
12/9/2010 7:15 AM
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SEC Chairman Questions Auditor’s Role
Posted by Todd Cipperman at
12/8/2010 7:30 AM
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Investment Banking Services to Non-Profits Requires BD Registration
Posted by Todd Cipperman at
12/6/2010 6:29 AM
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Adviser’s Registration Revoked for Ignoring SEC Exam Staff
Posted by Todd Cipperman at
12/2/2010 7:52 AM
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SEC Threatens Independent Directors with Enforcement Actions over Fund Fees
Posted by Todd Cipperman at
12/1/2010 7:21 AM
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