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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13F reporting confidentiality foia trade secrets
2009 summary distribution broker-dealers regulatory alert
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36b excessive fee court jones v harris
36b fundoffunds private right of action
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Investment Management Law: Monthly Archives for October 2011
SEC Staff Says ERISA Performance Info Complies; Filing Not Required
Posted by Todd Cipperman at
10/31/2011 5:51 AM
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ATS to Pay $1 Million Fine for Failing to Disclose Dominance by Affiliate
Posted by Todd Cipperman at
10/28/2011 6:52 AM
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SEC Adopts Filing Requirements for Private Fund Info
Posted by Todd Cipperman at
10/27/2011 5:41 AM
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State Securities Regulators Step Up Enforcement
Posted by Todd Cipperman at
10/26/2011 5:42 AM
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SEC Examinations Director Says that Ethics Impact Exams
Posted by Todd Cipperman at
10/21/2011 5:44 AM
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New FINRA Rule Requires Filing of PPMs and Disclosure
Posted by Todd Cipperman at
10/20/2011 6:12 AM
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FINRA Designated to Take Form PF Filings for Private Funds
Posted by Todd Cipperman at
10/17/2011 5:45 AM
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SEC Proposes Registration Process for Swap Players
Posted by Todd Cipperman at
10/14/2011 6:25 AM
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IM Staff Allows Registered Hedge Fund-of-Funds to Create “Toxic Waste†Fund
Posted by Todd Cipperman at
10/12/2011 8:42 AM
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Private Equity Firm Seeks Relief to Allow Co-Investments
Posted by Todd Cipperman at
10/11/2011 6:15 AM
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Federal Court Rules that FINRA Can’t Sue to Enforce Fines
Posted by Todd Cipperman at
10/10/2011 6:37 AM
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FINRA Offers Some Guidance on Series 99 Details
Posted by Todd Cipperman at
10/7/2011 6:01 AM
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FINRA Levies $1 Million Fine for Failing to Monitor Employee Accounts
Posted by Todd Cipperman at
10/6/2011 6:47 AM
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ICI and IDC Issue Paper on Board Oversight of Risk Management
Posted by Todd Cipperman at
10/5/2011 7:22 AM
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NASAA Lists Deficiencies Found in Coordinated IA Exams
Posted by Todd Cipperman at
10/4/2011 5:51 AM
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BD to Pay Over $2 Million for Allowing Automated System to Charge Excessive Commissions
Posted by Todd Cipperman at
10/3/2011 6:02 AM
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