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
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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 February 2011
CCO Disciplined for Failing to File Suspicious Activity Reports
Posted by Todd Cipperman at
2/28/2011 6:50 AM
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SEC Requires Hedge Fund Manager to Send Enforcement Order to Clients and Prospects
Posted by Todd Cipperman at
2/25/2011 7:00 AM
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NASAA Model Custody Rule Would Require Private Funds to Deliver Account Statements
Posted by Todd Cipperman at
2/24/2011 7:14 AM
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FINRA Requires Reporting of All Securities Law Violations
Posted by Todd Cipperman at
2/22/2011 6:29 AM
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FINRA Fines BD $600,000 for Allowing Shared Login Credentials
Posted by Todd Cipperman at
2/18/2011 8:06 AM
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SEC Sweeping Firms About Social Media
Posted by Todd Cipperman at
2/17/2011 7:01 AM
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NASAA Wants to Return Power to States to Regulate Reg D Offerings
Posted by Todd Cipperman at
2/16/2011 6:51 AM
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OCIE Chief Declares New Focus on Enterprise Risk Management
Posted by Todd Cipperman at
2/15/2011 8:03 AM
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SEC Commissioner Advocates for Substantive Review of New Advisers
Posted by Todd Cipperman at
2/14/2011 7:18 AM
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SEC Blames Weak Compliance Program for IPO Disclosure and Allocation Missteps
Posted by Todd Cipperman at
2/11/2011 6:26 AM
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Ketchum Stumps for BD ADV and Fiduciary Standard
Posted by Todd Cipperman at
2/10/2011 7:27 AM
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FINRA Releases Regulatory and Examination Priorities List
Posted by Todd Cipperman at
2/9/2011 6:15 AM
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CFTC Proposes Rescinding Fund Registration Exemptions
Posted by Todd Cipperman at
2/8/2011 8:09 AM
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Faulty Computer Coding and Inadequate Compliance Blamed for $200 Million Client Losses
Posted by Todd Cipperman at
2/7/2011 7:07 AM
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SEC Sues Unregistered Adviser to Unregistered Fund with Non-US Investors
Posted by Todd Cipperman at
2/3/2011 6:24 AM
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Federal Court Rules that Fund-of-Funds Investor Can’t Sue Underlying Funds
Posted by Todd Cipperman at
2/2/2011 7:26 AM
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SEC Sues Lawyer for Altering PPMs in Response to Document Request
Posted by Todd Cipperman at
2/1/2011 6:12 AM
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