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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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 January 2011
SEC Allows BDs to Rely on RIAs for CIP But Increases Burden
Posted by Todd Cipperman at
1/31/2011 7:05 AM
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BD Fined $10 Million Because Prop Trading Desk Mis-Used Customer Trading Data
Posted by Todd Cipperman at
1/28/2011 7:09 AM
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SEC Proposes Rule Excluding Home Value from Accredited Investor Definition
Posted by Todd Cipperman at
1/27/2011 6:58 AM
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SEC Proposes Extensive Reporting for Hedge and Private Equity Funds
Posted by Todd Cipperman at
1/26/2011 6:58 AM
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SEC Sues Adviser for Violating Cross-Trading Rules
Posted by Todd Cipperman at
1/25/2011 7:14 AM
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SEC Staff Study Recommends Fiduciary Standard and More Adviser Rules
Posted by Todd Cipperman at
1/24/2011 7:03 AM
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SEC Adopts ABS Disclosure and Review Rules
Posted by Todd Cipperman at
1/21/2011 7:24 AM
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SEC Staff Delivers Study on Adviser Examinations
Posted by Todd Cipperman at
1/20/2011 7:08 AM
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SEC Proposes Confirm Rule for Security-Based Swaps
Posted by Todd Cipperman at
1/19/2011 6:51 AM
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Large BD Will Pay Over $20 Million for Best Execution Violations
Posted by Todd Cipperman at
1/18/2011 7:06 AM
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FINRA Asserts Jurisdiction over Private Placements
Posted by Todd Cipperman at
1/14/2011 6:51 AM
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SEC Pursues Fund Execs for Misleading Marketing Activities
Posted by Todd Cipperman at
1/12/2011 7:13 AM
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FINRA’s Expanded KYC and Suitability Obligations Take Effect on October 7
Posted by Todd Cipperman at
1/11/2011 7:00 AM
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SEC Sues Hedge Fund Sponsor for Mis-Classifying Org Expenses
Posted by Todd Cipperman at
1/10/2011 8:13 AM
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Receiver Claims Law Firm’s Malpractice Caused Investor Losses
Posted by Todd Cipperman at
1/6/2011 7:27 AM
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SEC Won’t Allow Private Funds to Use Non-PCAOB Audit Firms
Posted by Todd Cipperman at
1/5/2011 7:12 AM
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New York State Sues Audit Firm for Violating the Martin Act
Posted by Todd Cipperman at
1/4/2011 8:06 AM
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SEC Extends Compliance Date for New Brochure Supplement
Posted by Todd Cipperman at
1/3/2011 7:24 AM
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