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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Donohue Says that BD Registration is Required for Private Fund Intermediaries
9/9/2010
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8/26/2010
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8/26/2010
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8/26/2010
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8/23/2010
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7/22/2010
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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 December 2011
Top 10 Regulatory Alerts – Distribution 201 1
Posted by Todd Cipperman at
12/30/2011 7:45 AM
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Top 10 Regulatory Alerts – Funds 2011
Posted by Todd Cipperman at
12/29/2011 7:34 AM
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Top 10 Regulatory Alerts – Compliance and Operati ons 2011
Posted by Todd Cipperman at
12/28/2011 9:11 AM
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SEC Raises Accredited Investor Threshold to Exclude Primary Residence
Posted by Todd Cipperman at
12/22/2011 7:05 AM
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NYS High Court Allows Private Lawsuits Despite Martin Act
Posted by Todd Cipperman at
12/21/2011 6:59 AM
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FINRA Announces 2011 Statistics; Focus on Branch Exams
Posted by Todd Cipperman at
12/20/2011 7:28 AM
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SEC Charges Non-Discretionary Adviser with Overstating AUM on ADV
Posted by Todd Cipperman at
12/19/2011 8:19 AM
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Massachusetts Says that Adviser Charged Excessive Fees
Posted by Todd Cipperman at
12/15/2011 6:30 AM
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NYS Court Rules that Insurance Company Does Not Need to Reimburse Disgorgement
Posted by Todd Cipperman at
12/14/2011 6:39 AM
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SEC’s Chief Accountant Wants More Audit Committee Oversight of Auditor Selection
Posted by Todd Cipperman at
12/12/2011 6:40 AM
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SEC Announces Compliance Outreach Program for January 31
Posted by Todd Cipperman at
12/9/2011 6:50 AM
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Khuzami Says Enforcement is Focusing on ADVs and Poor-Performing Funds
Posted by Todd Cipperman at
12/8/2011 7:13 AM
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Coordinated Review for Advisers Switching to State Registration
Posted by Todd Cipperman at
12/6/2011 7:13 AM
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SEC Uses Outlier Returns to Identify Risky Hedge Funds
Posted by Todd Cipperman at
12/5/2011 7:19 AM
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Top 5 Regulatory Alerts November 2011
Posted by Todd Cipperman at
12/2/2011 7:25 AM
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SEC OCIE and FINRA Issue Risk Alert on Branch Office Exams
Posted by Todd Cipperman at
12/1/2011 8:02 AM
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