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Recent Posts
Adviser Defrauded Client by Overvaluing Firm’s Equity, SEC Charges
Thursday, May 31, 2012
Weak Compliance Function Results in $3.1 Million Payment and Bar for Hedge Fund Sponsor
Wednesday, May 30, 2012
Master Fund May Deduct Feeder Fund Assets when Calculating Registration Fees
Tuesday, May 29, 2012
SEC Charges Sponsor of Feeder Fund that Invested in Ponzi Scheme
Thursday, May 24, 2012
FINRA Says that Brokers Must Put Clients’ Interests First
Wednesday, May 23, 2012
Khuzami Defends and Explains SEC’s Settlement Practices
Monday, May 21, 2012
Best of the Web - May 2012
Friday, May 18, 2012
NYS’s Highest Court Rules that Compliance Officers Can’t Sue for Wrongful Termination
Thursday, May 17, 2012
OCIE’s Deputy Director Announces Exam Sweep of Private Fund Advisers
Wednesday, May 16, 2012
SEC Sues to Obtain Audit Work Papers from Chinese Firm
Tuesday, May 15, 2012
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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
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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: Category Archive for General
Top 10 Regulatory Alerts - Distribution and Broker-Dealers 2010
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12/30/2010 7:00 AM
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Top 10 Regulatory Alerts - Compliance and Operations 2010
Posted by Todd Cipperman at
12/28/2010 6:36 AM
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Top 10 Regulatory Alerts - Funds 2010
Posted by Todd Cipperman at
12/27/2010 7:31 AM
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Top 10 Regulatory Alerts - Distribution and Broker-Dealers 2009
Posted by Todd Cipperman at
12/28/2009 7:33 AM
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Top 10 Regulatory Alerts - Compliance and Operations 2009
Posted by Todd Cipperman at
12/28/2009 7:29 AM
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Top 10 Regulatory Alerts - Funds 2009
Posted by Todd Cipperman at
12/28/2009 7:26 AM
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Regulatory Update 2009
Posted by Todd Cipperman at
12/6/2009 9:18 AM
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Investment Industry Seminar
Posted by Todd Cipperman at
12/6/2009 9:12 AM
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Top 10 Regulatory Alerts - Distribution and Broker-Dealers 2008
Posted by Todd Cipperman at
12/31/2008 7:40 AM
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Top 10 Regulatory Alerts - Compliance and Operations 2008
Posted by Todd Cipperman at
12/30/2008 7:48 AM
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Top 10 Regulatory Alerts - Funds 2008
Posted by Todd Cipperman at
12/29/2008 8:35 AM
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Regulatory Update 2008
Posted by Todd Cipperman at
12/24/2008 6:55 AM
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Welcome!
Posted by Todd Cipperman at
4/17/2008 10:57 AM
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