Investment Management Law: Top 5 Regulatory Alerts October 2011

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Investment Management Law: Top 5 Regulatory Alerts October 2011

Top 5 Regulatory Alerts October 2011

1. Federal Court Rules that FINRA Can't Sue to Enforce Fines (10/10/11)

2. SEC Adopts Filing Requirements for Private Fund Info (10/27/11)

3. New FINRA Rule Requires Filing of PPMs and Disclosure (10/20/11)

4. ICI and IDC Issue Paper on Board Oversight of Risk Management (10/5/11)

5. State Securities Regulators Step Up Enforcement (10/26/11)

Posted by Todd Cipperman at 11/3/2011 5:58 AM

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