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
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 April 2011
Massachusetts Files Complaint Against Hedge Fund Manager for Use of Expert Network Firm
Posted by Todd Cipperman at
4/27/2011 6:29 AM
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Adviser Charged with Marking-the-Close to Inflate Customer Statements
Posted by Todd Cipperman at
4/26/2011 6:17 AM
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Accepting Unsolicited Orders Requires Series 7 and 63
Posted by Todd Cipperman at
4/25/2011 6:39 AM
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FINRA Action Requires Discretionary BDs to Disclose All Material Facts
Posted by Todd Cipperman at
4/18/2011 8:12 AM
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SEC Brings Action for Falsely Claiming Federal Registration Eligibility
Posted by Todd Cipperman at
4/13/2011 6:07 AM
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FINRA and SEC Pursue BDs for Weak Due Diligence on Third-Party Products
Posted by Todd Cipperman at
4/12/2011 6:04 AM
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SEC Official Says that Private Fund Adviser Compliance Date May Be Postponed to 2012
Posted by Todd Cipperman at
4/11/2011 5:42 AM
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CCO Sanctioned/Fined for Inadequate Policies/Procedures
Posted by Todd Cipperman at
4/8/2011 7:00 AM
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Pennsylvania Securities Regulator Allows 6 More Months to Complete New ADV
Posted by Todd Cipperman at
4/7/2011 5:29 AM
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FINRA Proposes Outsourcing Rule
Posted by Todd Cipperman at
4/6/2011 5:19 AM
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Federal Court Dismisses Class Action Claims Against Fund Sponsor
Posted by Todd Cipperman at
4/5/2011 5:22 AM
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