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Imminent Dodd-Frank Compliance Issues for Users of Swaps and Derivatives 22 February 2013 Legal News Alert: Finance & Financial Institutions Implementation of the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) affecting users of swaps and derivatives has been...
A Compilation of Enforcement and Non-Enforcement Actions 27 February 2013 Legal News: Investment Management Update Non-Enforcement Matters Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures Mutual Fund Boards and Oversight of Fair...
A Compilation of Enforcement and Non-Enforcement Actions 28 March 2013 Legal News: Investment Management Update Non-Enforcement Matters Recent Newsworthy Remarks by the SEC SEC Issues “Alert” on the Custody Rule Securities Exchange Act Issues for Exchange-Traded...
A Compilation of Enforcement and Non-Enforcement Actions 30 April 2013 Legal News: Investment Management Update Non-Enforcement Matters Legislation Reintroduced to Charge Investment Advisor User Fees SEC Examination Program for Newly Registered Investment Advisers...
A Compilation of Enforcement and Non-Enforcement Actions 31 January 2013 Legal News: Investment Management Update Non-Enforcement Matters FINRA Announces Regulatory and Examination Priorities for 2013 SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement...
A Compilation of Enforcement and Non-Enforcement Actions 28 December 2012 Legal News: Investment Management Update Non-Enforcement Matters New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program FINRA Rule 5123 Revisited Enforcement Matters SEC...
A Compilation of Enforcement and Non-Enforcement Actions 30 November 2012 Legal News: Investment Management Update Non-Enforcement Matters SEC Approves New FINRA Rule on Private Placement Offerings Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements...
Delaware Arbitration Procedure Ruled Unconstitutional 04 September 2012 Legal News Alert: Litigation On August 30, 2012, U.S. District Court Judge McLaughlin of the U.S. District Court for the Eastern District of Pennsylvania, sitting by designation for the U.S....
Regulation of Forex in the Wake of Dodd-Frank 14 October 2011 Legal News: Securities Enforcement & Litigation In passing the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), Congress has attempted to close loopholes in connection with the regulation...
A Compilation of Enforcement and Non-Enforcement Actions 27 September 2012 Legal News: Investment Management Update Non-Enforcement Matters Lack of SEC Guidance With Revised Rule 506 Could Make the Rule Unusable State Securities Administrators List Top Broker-Dealer...