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 June 2011
SEC Adopts Single Family Office Exclusion from Advisers Act
Posted by Todd Cipperman at
6/29/2011 7:27 AM
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SEC Adopts Limited Foreign Private Adviser Exemption
Posted by Todd Cipperman at
6/28/2011 5:43 AM
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Exempt Private Fund Advisers Must File ADVs Under New SEC Rules
Posted by Todd Cipperman at
6/27/2011 6:25 AM
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SEC Outlines Transition Rules for State vs. Federal Adviser Registration
Posted by Todd Cipperman at
6/24/2011 6:44 AM
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Private Equity and Hedge Fund Managers Must File ADVs by February 14, 2012
Posted by Todd Cipperman at
6/23/2011 5:48 AM
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SEC's Enforcement Director Warns Defense Lawyers about Tactics
Posted by Todd Cipperman at
6/21/2011 6:27 AM
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FINRA Rule Requiring Licensing of Ops Personnel Approved by SEC
Posted by Todd Cipperman at
6/20/2011 6:59 AM
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Adviser and CCO Sanctioned for Commission Kickbacks Received for Directing Trades
Posted by Todd Cipperman at
6/17/2011 5:08 AM
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SEC Proposes to Add Customer Protection Exams to BD Annual Audits
Posted by Todd Cipperman at
6/16/2011 5:47 AM
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Federal Court Rules that Private Plaintiffs Can't Sue Under Compliance Rule
Posted by Todd Cipperman at
6/15/2011 6:33 AM
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Supreme Court Says that Investment Adviser Can’t Be Sued for Misleading Fund Prospectus
Posted by Todd Cipperman at
6/14/2011 6:08 AM
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OCIE Director Lists Issues that PE Firms Must Address
Posted by Todd Cipperman at
6/13/2011 6:39 AM
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Large BD Hit with $10 Million Fine for Favoring Large Clients
Posted by Todd Cipperman at
6/10/2011 5:52 AM
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No-Action Letter Allows Registered Fund to Acquire Foreign Funds
Posted by Todd Cipperman at
6/8/2011 6:20 AM
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FINRA "Encourages" BD Intermediaries to Cooperate with Pay-to-Play Info Requests
Posted by Todd Cipperman at
6/7/2011 7:17 AM
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FINRA Imposes $600,000 Fine for Allowing Over-Concentration
Posted by Todd Cipperman at
6/6/2011 6:00 AM
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Trader Banned From Industry for Gaming Risk Management System
Posted by Todd Cipperman at
6/2/2011 6:49 AM
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FINRA Charges BD for Failing to Second-Guess NAVs
Posted by Todd Cipperman at
6/1/2011 6:44 AM
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