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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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
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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 September 2011
SEC's Exam Staff Warns BDs about Master/Sub-Accounts
Posted by Todd Cipperman at
9/30/2011 6:15 AM
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SEC Charges Fund Sub-Adviser for Knowingly Mis-Using Soft Dollar Credits
Posted by Todd Cipperman at
9/29/2011 6:32 AM
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Adviser Charged with Overstating AUM and Hiding Financial Position
Posted by Todd Cipperman at
9/28/2011 6:44 AM
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BD CCO Charged with Failure to Supervise
Posted by Todd Cipperman at
9/27/2011 7:14 AM
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Chairman/Controlling Shareholder of Quant Manager Barred from Industry for Concealing Programming Error in Risk Model
Posted by Todd Cipperman at
9/26/2011 7:15 AM
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SEC Charges Solicitor with Failing to Conduct Proper Due Diligence
Posted by Todd Cipperman at
9/21/2011 5:54 AM
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FINRA Releases Info about New Series 99 Operations Exam
Posted by Todd Cipperman at
9/20/2011 7:10 AM
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NASAA's New President Vows to Defend State Regulatory Authority
Posted by Todd Cipperman at
9/19/2011 7:11 AM
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SEC Pursues "Independent" RIA for Failing to Disclose Payments
Posted by Todd Cipperman at
9/16/2011 6:00 AM
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Massachusetts Requires Certification from Expert Network Firms
Posted by Todd Cipperman at
9/15/2011 6:07 AM
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FINRA Chairman Makes Strong Case for Adviser SRO
Posted by Todd Cipperman at
9/14/2011 6:40 AM
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SEC Staff Offers Relief for Pay-to-Play Recordkeeping Requirements
Posted by Todd Cipperman at
9/13/2011 5:30 AM
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FINRA Says that Handling Fees are Commissions
Posted by Todd Cipperman at
9/12/2011 6:42 AM
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Private Equity Exec Charged with Mis-Allocating Investment Opportunities to Personal Fund
Posted by Todd Cipperman at
9/9/2011 8:05 AM
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SEC Seeks Input on 1940 Act Exemptions for Mortgage and Asset-Backed Issuers
Posted by Todd Cipperman at
9/8/2011 6:04 AM
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SEC Solicits Info to Consider More Derivatives Regulation for Funds
Posted by Todd Cipperman at
9/7/2011 7:00 AM
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