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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10/14/2010
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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 May 2011
SEC Smacks RIA for Weak Compliance Program and CCO
Posted by Todd Cipperman at
5/31/2011 6:54 AM
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SEC Proposal Would Prohibit Reliance on Reg D by Bad Actors
Posted by Todd Cipperman at
5/27/2011 6:21 AM
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SEC Adopts Expansive Whistleblower Rules
Posted by Todd Cipperman at
5/26/2011 6:30 AM
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FINRA Fines Closed-End Fund Distributor $3 Million for Misleading ARPS Marketing Materials
Posted by Todd Cipperman at
5/25/2011 6:26 AM
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SEC Permits Web Service for Streaming Road Shows
Posted by Todd Cipperman at
5/23/2011 6:10 AM
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Federal Judge Acquits In-House Lawyer of Charges of Lying to Government
Posted by Todd Cipperman at
5/20/2011 5:50 AM
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FINRA Makes Disciplinary Actions Available Online
Posted by Todd Cipperman at
5/19/2011 6:38 AM
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New FINRA Rule Would Require Point-of-Sale Disclosure of Mutual Fund Revenue-Sharing
Posted by Todd Cipperman at
5/17/2011 7:39 AM
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SEC Chairman Confirms that Fund Manger Registration Will Wait Until 2012
Posted by Todd Cipperman at
5/16/2011 6:45 AM
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SEC Expects to Raise Bar for Advisers and Fund Managers Charging Performance Fees
Posted by Todd Cipperman at
5/11/2011 6:48 AM
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SEC Charges Adviser with Lying about SEC Deficiencies in RFPs
Posted by Todd Cipperman at
5/10/2011 6:32 AM
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BD Whacked with $1 Million Fine for Late Prospectus Delivery
Posted by Todd Cipperman at
5/6/2011 6:53 AM
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BD/RIA Sanctioned for Failing to Supervise Firm's Owner/Principal
Posted by Todd Cipperman at
5/5/2011 7:11 AM
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SEC Staff Says that Pay-to-Play Rule Does not Extend to Affiliates
Posted by Todd Cipperman at
5/4/2011 6:03 AM
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Regulators Propose Expansive Definitions of "Swaps" and "Security-Based Swaps"
Posted by Todd Cipperman at
5/3/2011 6:43 AM
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SEC Proposal Requires BDs to Assess Credit for Net Capital Calculation
Posted by Todd Cipperman at
5/2/2011 5:25 AM
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