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 July 2011
Federal Court Dismisses SOX Whistleblower Retaliation Claim
Posted by Todd Cipperman at
7/29/2011 6:56 AM
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GAO Says FINRA's Fund Comments Should be Consistent and Communicated
Posted by Todd Cipperman at
7/28/2011 6:50 AM
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SEC Adopts Large Trader Filing and Reporting Requirements
Posted by Todd Cipperman at
7/27/2011 7:22 AM
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Federal Court Vacates SEC Rule Requiring Shareholder Nominations
Posted by Todd Cipperman at
7/25/2011 6:17 AM
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Federal Court Dismisses CDO Fraud Case Based on Transactional Locus
Posted by Todd Cipperman at
7/22/2011 7:22 AM
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SEC Pursues Trustee for Allowing Unauthorized Investments
Posted by Todd Cipperman at
7/21/2011 6:01 AM
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FINRA Provides Additional Guidance About Reporting Regulatory Violations
Posted by Todd Cipperman at
7/19/2011 5:50 AM
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SEC Sanctions and Fines Audit Engagement Partner for Failing to Verify Assets
Posted by Todd Cipperman at
7/18/2011 6:11 AM
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New Qualified Client Standards Take Effect on September 19
Posted by Todd Cipperman at
7/13/2011 6:10 AM
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BD/IA Hit With $850,000 Fine for Failing to Enforce Information and Trading Policies
Posted by Todd Cipperman at
7/12/2011 6:05 AM
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SEC Sues Head of Collateral Manager for Omissions in Structured Product Offering Docs
Posted by Todd Cipperman at
7/11/2011 6:29 AM
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CFTC Adopts Expansive Anti-Fraud Rule for Swaps and Commodities
Posted by Todd Cipperman at
7/8/2011 6:34 AM
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Fair Valuation Failures Result in $100 Million in Fines and Restitution for Mutual Fund Sponsor
Posted by Todd Cipperman at
7/6/2011 6:19 AM
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SEC Sets Aside $5 Million Fine Because Directed Brokerage Rule Was Ambiguous
Posted by Todd Cipperman at
7/5/2011 6:45 AM
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