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 November 2011
FINRA Sanctions 8 Firms for Insufficient Private Placement Due Diligence
Posted by Todd Cipperman at
11/30/2011 7:36 AM
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SEC Sanctions Three Firms for Inadequate Compliance Programs
Posted by Todd Cipperman at
11/29/2011 8:45 AM
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Fund Wholesaler Fined $300,000 Because of Misleading Marketing Materials
Posted by Todd Cipperman at
11/28/2011 7:32 AM
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BD to Pay Nearly $2 Million for Allowing Reverse Repo that Furthered Fraud
Posted by Todd Cipperman at
11/18/2011 6:51 AM
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Fund Adviser to Pay Over $3.3 Million for Failing to Oversee Sub-Adviser
Posted by Todd Cipperman at
11/17/2011 7:43 AM
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Massachusetts Re-Proposes Registration Rule for 3(c)(1) Fund Managers
Posted by Todd Cipperman at
11/16/2011 7:12 AM
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SEC Charges Fund Manager for Failing to Disclose Placement Fees
Posted by Todd Cipperman at
11/14/2011 6:46 AM
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SEC Sues Fund-of-Funds Manager for Failing Due Diligence
Posted by Todd Cipperman at
11/11/2011 7:14 AM
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SEC Enforcement Statistics Reach New Records
Posted by Todd Cipperman at
11/10/2011 6:28 AM
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FINRA Proposes Enhanced Recordkeeping for Carrying and Clearing Firms
Posted by Todd Cipperman at
11/9/2011 7:15 AM
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Chairman Schapiro Promises Money Market Fund Proposal
Posted by Todd Cipperman at
11/8/2011 7:12 AM
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SEC Charges Hedge Fund Manager with Exaggerating Background
Posted by Todd Cipperman at
11/7/2011 5:57 AM
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SEC Chairman Lists Some Red Flags that OCIE Uses to Target Exams
Posted by Todd Cipperman at
11/4/2011 6:03 AM
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Top 5 Regulatory Alerts October 2011
Posted by Todd Cipperman at
11/3/2011 5:58 AM
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Rominger Says that SEC is Reviewing ETFs
Posted by Todd Cipperman at
11/2/2011 5:31 AM
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SEC Releases 42-Page Form PF for Private Fund Information Filing
Posted by Todd Cipperman at
11/1/2011 6:26 AM
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