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 January 2012
Firm and Principal Sanctioned for Failing to Supervise Independent Contractor
Posted by Todd Cipperman at
1/31/2012 6:32 AM
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Firms Must Verify Funds Transfer Instructions
Posted by Todd Cipperman at
1/30/2012 10:04 AM
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BDs Must Make SAR Information Available to FINRA
Posted by Todd Cipperman at
1/27/2012 6:17 AM
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SEC Staff Provides Guidance on Family Office Registration Rule
Posted by Todd Cipperman at
1/25/2012 7:51 AM
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FINRA Warns Firms about Recommending Complex Products
Posted by Todd Cipperman at
1/25/2012 7:51 AM
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SEC Staff Allows Related Private Fund Advisers to Rely on Single Registration
Posted by Todd Cipperman at
1/23/2012 6:19 AM
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SEC Sues Fund Portfolio Manager for Holding Back Valuation Information
Posted by Todd Cipperman at
1/19/2012 7:28 AM
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Fund Sponsor to Pay $300,000 for Not Following Valuation Procedures
Posted by Todd Cipperman at
1/18/2012 5:59 AM
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FINRA Exempts ERISA Compliant Materials from Filing Requirements
Posted by Todd Cipperman at
1/17/2012 6:57 AM
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Broker-Dealer Fined $1.75 Million for Inadequate Reg SHO Compliance Procedures
Posted by Todd Cipperman at
1/13/2012 6:52 AM
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Advisory Committee Recommends Eliminating Private Placement Prohibitions on General Solicitation
Posted by Todd Cipperman at
1/10/2012 7:04 AM
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SEC Upholds FINRA Action against Switching Broker Who Took Client Info
Posted by Todd Cipperman at
1/9/2012 6:53 AM
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SEC Acknowledges That It May Use Form PF Data in Enforcement Actions
Posted by Todd Cipperman at
1/6/2012 7:01 AM
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SEC’s OCIE Issues Risk Alert on Adviser Use of Social Media
Posted by Todd Cipperman at
1/5/2012 8:14 AM
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SEC Releases Form 13H for Large Trader Reporting
Posted by Todd Cipperman at
1/3/2012 7:01 AM
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