Archives

View All Posts

• 22: Broker-Dealer Regulatory Update - As of August 21, 2008
• 15: Broker-Dealer Regulatory Update - As of August 14, 2008
• 13: SEC Proposes Guidance for Investment Company Boards of Directors on Adviser Trading Practices
• 08: Broker-Dealer Regulatory Update - As of August 7, 2008
• 01: Broker-Dealer Regulatory Update - As of July 31, 2008

• 30: SEC and DOL Agree to Cooperate in Examinations
• 25: SEC Exam Staff Issues Second ComplianceAlert
• 25: Broker-Dealer Regulatory Update - As of July 24, 2008
• 22: SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule
• 18: Broker-Dealer Regulatory Update - As of July 17, 2008
• 17: SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions
• 15: Broker-Dealer Regulatory Update - As of July 11, 2008
• 08: FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives)
• 01: SEC Proposes Rule That Would Require Equity Index Annuities to Be Registered Securities

• 30: SEC Proposes Major Revisions to Rule 15a-6
• 20: Broker-Dealer Regulatory Update - As of June 19, 2008
• 13: Broker-Dealer Regulatory Update - As of June 12, 2008
• 13: Interactive Data for Mutual Fund Risk/Return Summary
• 06: Broker-Dealer Regulatory Update - As of June 5, 2008
• 03: Speaking Engagement - Teaching at Wharton, with the FINRA Institute

• 30: Broker-Dealer Regulatory Update - As of May 29, 2008
• 29: CFTC Authority Extended over Retail Forex and Energy Trading
• 23: Broker-Dealer Regulatory Update - As of May 22, 2008
• 22: Seventh Circuit “Disapproves” of Gartenberg Factors
• 20: Speaking Engagement - Introduction to Non-French Private Equity Fund Vehicles
• 20: Speaking Engagement - Annual Meeting of the Association of Life Insurance Counsel
• 16: Broker-Dealer Regulatory Update - As of May 15, 2008
• 16: FINRA Issues Proposals on Rulebook Consolidation
• 12: Speaking Engagement - NRS 23rd Annual Spring Compliance Conference
• 09: Broker-Dealer Regulatory Update - As of May 8, 2008
• 06: SEC Fires Another Warning Shot over Insider Trading Policies and Procedures
• 02: Broker-Dealer Regulatory Update - As of May 1, 2008

• 28: Speaking Engagement - NSCP 2008 Midwest Regional Meeting
• 25: Broker-Dealer Regulatory Update - As of April 25, 2008
• 21: Amendments Increase Attractiveness of Rule 701
• 18: Broker-Dealer Regulatory Update - As of April 17, 2008
• 17: Speaking Engagement - West Legal Works presents: ERISA for Money Managers
• 11: Broker-Dealer Regulatory Update - As of April 10, 2008
• 07: Broker-Dealer Regulatory Update - As of April 3, 2008

• 31: Broker-Dealer Regulatory Update - As of March 27, 2008
• 21: Broker-Dealer Regulatory Update - As of March 20, 2008
• 18: SEC Proposes “Naked” Short Selling Anti-Fraud Rule
• 13: Speaking Engagement - Compliance Programs: Requirements, Responsibilities and Thinking Like an SEC Examiner
• 11: SEC Proposes Amendments to Regulation S-P
• 07: SEC Finally Publishes Proposed Amendments to Part 2 of Form ADV
• 07: Broker-Dealer Regulatory Update - As of March 6, 2008
• 05: SEC Proposes Rules to Allow Index-Based and Fully Transparent Actively Managed ETFs

• 22: Broker-Dealer Regulatory Update - As of February 21, 2008
• 20: SEC Makes Analyzing Corporate Performance Easier for Investors
• 15: Broker-Dealer Regulatory Update - As of February 14, 2008
• 14: SEC Votes to Propose Amendments to Part 2 of Form ADV (Finally)
• 09: Broker-Dealer Regulatory Update - As of February 8, 2008
• 05: SEC Issues First Notice for Actively Managed ETFs

• 18: Broker-Dealer Regulatory Update - As of January 17, 2008
• 14: SEC Staff Extends Relief Allowing Broker-Dealers to Rely on Investment Advisers to Perform Customer Identification and Verification
• 11: FINRA Amends NYSE Rule 342.13: Eliminates Cut-Off Date for Recognition of Series 24
• 11: Broker-Dealer Regulatory Update - As of January 10, 2008

• 28: Broker-Dealer Regulatory Update - As of December 27, 2007
• 21: Broker-Dealer Regulatory Update - As of December 20, 2007
• 14: Broker-Dealer Regulatory Update - As of December 13, 2007
• 13: FINRA Issues Guidance Regarding Review and Supervision of Electronic Communications
• 07: Broker-Dealer Regulatory Update - As of December 6, 2007
• 06: Speaking Engagement - West Legalworks Investment Adviser Regulation Workshop
• 06: Speaking Engagement - ICI’s 2007 Securities Law Developments Conference

• 30: Broker-Dealer Regulatory Update - As of November 29, 2007
• 29: What Turns Legal Conduct into Market Manipulation? A District Court Answers That Bad Intent Is Enough, But Only Where It Is the Sole Intent
• 29: SEC Votes to Adopt Rule Amendments Relating to Electronic Shareholder Forums and Shareholder Proposals on the Election of Directors
• 27: Speaking Engagement - ICI’s Investment Company Directors Conference - West
• 17: Broker-Dealer Regulatory Update - As of November 16, 2007
• 16: SEC Proposes Improved Approach to Mutual Fund Disclosure
• 14: Speaking Engagement - Terrapinn’s Hedge Funds World Bahamas 2007
• 13: Webcast - Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers
• 10: Broker-Dealer Regulatory Update - As of November 9, 2007
• 09: MSRB Issues Guidance Regarding Revisions to Its Supervisory Rules
• 07: Speaking Engagement - SIFMA-CL New York Fall Compliance Seminar: The New SRO “FINRA”
• 06: Speaking Engagement - FINRA Institute at Wharton Certificate Program
• 06: Seminars - The ERISA and Securities Law Issues That Will Hit Your Balance Sheet in 2008
• 05: SEC Proposes Mandatory Electronic Submission of Investment Company Applications
• 05: Speaking Engagement - ICI’s 2007 Investment Company Directors Conference - East
• 03: Broker-Dealer Regulatory Update - As of November 2, 2007
• 01: Article - Keeping Current: Securities: Seventh Circuit’s Test for Inadvertent Investments
• 01: Article - Statistical Screens for “Return Smoothing” by Hedge Funds: SEC & Investor Interest

• 30: Speaking Engagement - 14th Annual Institutional Investor/MARHedge Global Hedge Fund Summit
• 26: Broker-Dealer Regulatory Update - As of October 25, 2007
• 23: Broker-Dealer Regulatory Update - As of October 22, 2007
• 17: Speaking Engagement - The 2007 NSCP National Membership Meeting
• 15: SEC Review of Executive Compensation Disclosures
• 12: Broker-Dealer Regulatory Update - As of October 11, 2007
• 10: Speaking Engagement - 11th Annual IAA Fall Compliance Workshop
• 05: Broker-Dealer Regulatory Update - As of October 4, 2007

• 28: Speaking Engagement - SIFMA Research Management Conference
• 21: Broker-Dealer Regulatory Update - As of September 20, 2007
• 20: SEC Adopts Interim Rule to Provide Limited Principal Trading Relief and Proposes Interpretive Rule Clarifying the Application of the Advisers Act to Broker-Dealers
• 14: Broker-Dealer Regulatory Update - As of September 13, 2007
• 07: Broker-Dealer Regulatory Update - As of September 6, 2007

• 31: Broker-Dealer Regulatory Update - As of August 30, 2007
• 24: Broker-Dealer Regulatory Update - As of August 23, 2007
• 17: Broker-Dealer Regulatory Update - As of August 16, 2007
• 10: SEC Issues Proposed Revisions of Limited Offering Exemptions in Regulation D
• 10: Broker-Dealer Regulatory Update - As of August 9, 2007
• 08: SEC Issues Advisers Act Antifraud Rule Release
• 07: SEC Adopts Final Rule Regarding Internet Access to Proxy Materials
• 01: The D.C. Circuit’s Remand of the SEC’s Order Sustaining an NASD Disciplinary Proceeding Puts Focus on the Standard for SEC Review of Sanctions Imposed by SROs

• 23: The Courts Address Rights Relating to Employer Stock
• 05: Presto: A New Test for Inadvertent Investment Companies

• 18: SEC Exam Staff Issues Its First ComplianceAlert
• 18: NASD and NYSE Request Comment on Joint Guidance Regarding Review and Supervision of Electronic Communications

• 31: IRS Issues Guidance Limiting Tax Benefits Associated With Asset-Based Fees
• 29: SEC Grants Industrywide Relief from Confirmation Disclosure and Delivery Requirements
• 24: SEC Proposes Several Significant Changes to Offering and Reporting Rules
• 15: SEC Files with D.C. Circuit to Seek Four-Month Stay of Implementation of Fee-Based Brokerage Ruling
• 03: NASD Announces Move to Electronic Processing of New Membership Applications for Broker-Dealers
• 02: SEC Grants Industrywide Exemption from Confirmation Delivery Requirements for Internally Managed, Discrectionary Programs

• 11: SEC Provides Class Relief for Fixed Income Exchange-Traded Funds
• 06: Implications of the D.C. Circuit’s Decision Vacating Rule 202(a)(11)-1

• 30: The New York Court of Appeals Rules That an Employer’s Statements on an
• 23: Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
• 13: SEC Issues Proposal to Amend Financial Responsibility Rules for Broker-Dealers

• 20: NASD Issues Guidance Regarding Portability of Investments

• 26: NASD Issues Notice to Members Regarding Research Analyst Rules
• 24: White Paper - 2006 In Review: SEC, NASD, and NYSE Regulation
• 24: SEC Adopts Rules Relating to Internet Availability of Proxy Materials and Proposes Universal Internet Availability of Proxy Materials
• 02: SEC Prposes Amendments to Antifraud and Eligibility Rules for Hedge Funds

• 14: 401(k) Plan Fees and Expenses Lawsuits Continue to Proliferate
• 14: SEC Proposes New Regulation R to Implement GLBA
• 13: NASD’s Order Audit Trail System Reporting Requirements
• 05: NASD Issues Guidance on Gifts and Gratuities

• 30: Funds May Use Any Independent Pricing Service for Cross Trades Involving Municipal Securities; SEC Staff Provides Guidance on Best Execution Duty in Cross Trades

• 31: NYSE Proposes to Eliminate Discretionary Broker Voting for Director Elections
• 30: SEC Expands Class Relief for Trading in Exchange Traded Funds
• 20: Morgan Lewis Obtains SEC Staff No-Action Relief Relating to Closed-End Fund Shelf Offering
• 11: Congress Passes Financial Services Regulatory Relief Act, Timetable for Enactment of Final Rules Under Gramm-Leach-Bliley Act
• 09: NASD Issues Notice to Members Regarding Amendments to Best Execution Obligations
• 05: FinCEN Publishes Interpretive Guidance on Mutual Fund Suspicious Activity Reporting Requirements Effective October 31, 2006
• 04: Congress Passes Financial Services Regulatory Relief Act, Timetable for Enactment of Final Rules Under Gramm-Leach-Bliley Act

• 28: SEC Adopts Amendments to Rule 22c-2 and Extends Compliance Date
• 06: NASD Issues Interpretive Guidance Regarding Recent Amendments to NASD Rules Governing Communications with the Public Relating to Mutual Fund Performance

• 17: Fiduciary Duty Provisions Affecting Financial Services Providers:
• 15: NASD and NYSE Issue Joint Release on Section 311 of the Patriot Act
• 14: SEC Staff Issues Guidance on Registration of Hedge Fund Advisers
• 09: SEC Staff Issues Guidance on Investment Adviser Registration
• 04: SEC Issues Letter to NYSE Regulation, Inc. Regarding Statutory Disqualifications: No-Action Letter and Interpretive Guidance
• 01: NASD and NYSE Issue Joint Interpretive Guidance on Fixed Income Research

• 18: The First Case of Its Kind: Morgan Lewis Team Wins
• 17: SEC Proposes to Narrow Exceptions to Regulation SHO’s Close-Out Requirements
• 14: SEC Issues Extension of Relief Granted to Broker-Dealers Allowing Reliance on Investment Advisers to Perform Customer Identification and Verification
• 13: SEC Adopts Revised Soft Dollars Safe Harbor

• 23: SEC Hedge Fund Registration Rule Vacated by D.C. Circuit
• 21: SEC Adopts Rules Regarding Fund-of-Funds Arrangements
• 19: Article - In Securities Deals, Plan for the Regulators: Know the Rules and Avoid Delay
• 14: SEC Files Status Report on Fund Governance Rule with US Court of Appeals and Issues Release Soliciting Comment
• 13: SEC Staff Issues No-Action Letter Regarding Cross Traders Where the Adviser and/or Its Controlling Persons Own 25% or Less of an Account
• 05: NYSE Issues Information Memo Regarding Directed Brokerage
• 01: Nasdaq Exchange Registration, Member and Issuer Transition Issues
• 01: Article - What to Do If Your Fund Becomes Subject to ERISA

• 18: NASD Issues Guidance Regarding the Use of Part-Time FINOPS
• 17: Treasury Finalizes Proposed Regulations, Issues New Proposed Regulations, for Roth
• 15: Seventh Circuit Court of Appeals Rejects Department of Labor’s Position on Standard of Review for Trustee’s Decisions
• 09: NASD and NYSE Issue Joint Guidance on Accomodating Client Requests for Charitable Contributions
• 04: FinCEN Issues Final Rule Requiring Mutual Funds to Report Suspicious Activity and Offers Guidance on Mutual Fund Due Dilligence Obligati
• 01: Article - Regulatory and Operational Issues for US Advisers Investing Overseas

• 18: SEC Approves Application of NASD’s Manning Rule to all NASD Members
• 07: Court of Appeals Vacates SEC Fund Governance

• 30: Intermarket Surveillance Group Issues Notice Regarding Deadline for Validations of Electronic Blue Sheet Reporting
• 17: DOL Extends Filing Deadline for Initial LM-10
• 13: NASD Postpones Effective Date of Amended Definition of Branch Office and IM-3010-1
• 10: NASD Files Proposal Regarding Submission of Supervisory Controls Reports to Board of Directors and Audit Committee
• 09: Department of Labor Provides a No Enforcement Period for LM-10 Filings
• 02: SEC Proposes Amendments to Redemption Fee Rule

• 23: NASD and MSRB Issue Joint Statement on Consistent Sales Practice Rules for 529 Plans and Mutual Funds
• 10: NASD and NYSE Adopt New Requirements Regarding Member’s AML Compliance Programs
• 01: SEC Reminds Mutual Funds and Insurance Company Separate Accounts to Obtain EDGAR Indentifiers for Series, Classes and Insurance Contracts

• 29: SEC Staff Issues No-Action Letter Permitting In-Kind Purchases of Fund Shares by Affiliates
• 27: SEC Staff Provides Guidance Under rule 202(a)(11)-1 under the Advisers Act
• 20: IRS Rules that Income from Derivatives on a Commodity Index is not “Qualifying Income” for Purposes of Subchapter M

• 22: NASD Issues Member Alert on Sales of Mutual Fund Shares and Dealer Agreements

• 31: FinCEN Adopts AML and SAR Rules for Insurance Companies
• 20: SEC Releases Soft Dollar Guidance

• 27: FTC Fines Hedge Fund Manager $350,000 for HSR Violations
• 22: SEC Proposes Revised Interpretation of Soft Dollars Safe harbor Under Section 28(e)

• 21: U.S. Court of Appeals rules That SEC Violated the Administrative Procedures Act When It Adopted the New Fund Governance Requirements