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
Slama Pofer on
FINRA Proposes New Compliance Exam Along with Other Changes to Registration/Qualification Requirements
8/23/2010
company financial analysis on
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 March 2011
FINRA Fines Clearing Firm for Failing to Monitor Shorts
Posted by Todd Cipperman at
3/29/2011 9:05 AM
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Private Equity Consultant Charged with Insider Trading in Acquisition Target
Posted by Todd Cipperman at
3/28/2011 7:50 AM
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Pay-to-Play Rule Answers Provided By IM Staff
Posted by Todd Cipperman at
3/25/2011 5:37 AM
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FINRA Chief Outlines Adviser Regulatory Regime
Posted by Todd Cipperman at
3/23/2011 4:47 AM
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SEC Will Focus on Conflicts of Interest When Examining Private Equity Firms
Posted by Todd Cipperman at
3/22/2011 6:48 AM
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IM Staff Answers Some ADV Part 2 Questions
Posted by Todd Cipperman at
3/21/2011 6:12 AM
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Study Shows that Firms Should Lawyer-Up When Charged by FINRA and SEC
Posted by Todd Cipperman at
3/18/2011 5:43 AM
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New SEC Budget Includes 102 New Jobs Focused on Private Funds
Posted by Todd Cipperman at
3/17/2011 6:06 AM
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SEC Claims Hedge Fund Lied to Directors, Administrator and Investors
Posted by Todd Cipperman at
3/16/2011 5:03 AM
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Adviser and Principals Including CCO Punished for Weak Compliance Program
Posted by Todd Cipperman at
3/15/2011 6:21 AM
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FINRA Expels Hedge Fund Manager over Valuation Issues
Posted by Todd Cipperman at
3/13/2011 8:40 PM
Massachusetts Pursues Out-of-State Firms for Failing to Register
Posted by Todd Cipperman at
3/9/2011 7:30 AM
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BD Fined for Pay-to-Play and Political Contribution Violations
Posted by Todd Cipperman at
3/8/2011 6:42 AM
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OCIE Chief Says 50% of Firms Cited for AML Compliance Deficiencies
Posted by Todd Cipperman at
3/7/2011 6:53 AM
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SEC Proposal Would Saddle Directors with Assessing Credit for Money Market Funds
Posted by Todd Cipperman at
3/4/2011 6:44 AM
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SEC Proposal Would Limit Incentive Compensation at Advisers and Broker-Dealers
Posted by Todd Cipperman at
3/3/2011 8:28 AM
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SEC Sues Hedge Fund Manager for Mis-Use of Side Pockets
Posted by Todd Cipperman at
3/2/2011 7:26 AM
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SEC Sues Independent Directors for Accounting and Disclosure Fraud
Posted by Todd Cipperman at
3/1/2011 6:53 AM
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