Top 10 Regulatory Alerts - Compliance and Operations 2010
We continue our look back on the most significant regulatory developments for 2010. Yesterday, we delivered the Top 10 Regulatory Alerts - Funds, and later in the week we will deliver the Top 10 Regulatory Alerts - Distribution and Broker-Dealers. Today, we list the Top 10 Regulatory Alerts - Compliance and Operations. For your convenience, the date of each Alert is included so that you can go back and read it again on our blog: blog.cipperman.com.
Top 10 Regulatory Alerts - Compliance and Operations 2010
1. SEC Proposal Outlines State/Federal Registration, Private Fund Disclosure, and New ADV (11/21/10)
2. SEC Adopts New ADV Part II: Extensive Disclosure and Publicly Available (7/22/10)
3. SEC Proposes Expansive Whistleblower Rule (11/4/10)
4. SEC Proposals Expand Swaps Regulation (12/16/10)
5. SEC Adopts Alternative Uptick Rule for Shorts (2/26/10)
6. SEC Approves Trading Halt Rules (6/11/10)
7. DoL Proposes Expansion of “Fiduciary” Definition (10/25/10)
8. Schapiro Says SEC Will Consider Proxy Voting Process (6/9/10)
9. Guidance for Self-Custody Surprise Exams Requires Client Verification and SEC Reporting (1/7/10)
10. SEC’s Khuzami Describes Increased Enforcement Activity by the Numbers (3/23/10)
Posted by Todd Cipperman at 12/28/2010 6:36 AM 
Categories: General
Tags: top 10 regulatory alerts compliance and operations
Categories: General
Tags: top 10 regulatory alerts compliance and operations
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