Investment Management Law

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February 2012

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Recent Posts
1. Court Upholds Permanent Bar Even Though Rules Changed
  Thursday, February 23, 2012
2. FINRA Considering Adding More Information to BrokerCheck
  Wednesday, February 22, 2012
3. SEC Raises Bar for Charging Performance Fees
  Tuesday, February 21, 2012
4. New CFTC Rule Will Require CPO Registration for Many Fund Managers
  Tuesday, February 14, 2012
5. Mid-Sized Advisers with Fewer than 5 Clients Must Register with the SEC
  Monday, February 13, 2012
6. Managers of 3(c)(1) Funds in Massachusetts Must Register by August 3
  Friday, February 10, 2012
7. SEC Files Notice of RIA Cancellation for Insufficient Assets
  Thursday, February 09, 2012
8. BD to Pay $1 Million Fine for Requiring Employees to Waive Arbitration
  Wednesday, February 08, 2012
9. Fund Service Provider Employees Do Not Get SOX Whistleblower Protection
  Tuesday, February 07, 2012
10. SEC's di Florio Calls Out Senior Management and Boards
  Monday, February 06, 2012
Recent Comments
1. Todd Cipperman on NYS Attorney General Says that Law Firm Introductions Required BD Registration
  10/14/2010
2. Mark Sides on NYS Attorney General Says that Law Firm Introductions Required BD Registration
  10/14/2010
3. seo consulting experts on Donohue Says that BD Registration is Required for Private Fund Intermediaries
  9/9/2010
4. Binaural Beats on FINRA Proposes Simplified Rule Governing Personal Securities Transactions
  8/26/2010
5. Binaural Beats on NY AG Sues Adviser Alleged to Have Suspected Madoff Fraud Back in 1997
  8/26/2010
6. Binaural Beats on SEC Charges Private Equity Execs with Securities Fraud
  8/26/2010
7. Slama Pofer on FINRA Proposes New Compliance Exam Along with Other Changes to Registration/Qualification Requirements
  8/23/2010
8. company financial analysis on Ketchum Wants Firms to Segregate Advisory Activities
  7/22/2010
9. adviser investment management on Ketchum Wants Firms to Segregate Advisory Activities
  6/23/2010
10. Bill Alsover on FINRA Expands Regulatory Jurisdiction to NYSE
  5/5/2010
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Investment Management Law

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