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Group Information

  • Members: 1096
  • Category: Law
  • Founded: Dec 1, 1999
  • Language: English
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Description

News reports and moderated discussion of securities law and related developments, especially legal issues relating to investment management. FundLaw is moderated by John Baker, a securities lawyer at the Washington, D.C. office of Stradley Ronon Stevens and Young, LLP.

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Donohue Guidance on Fund Oversight Issues
Andrew J. "Buddy" Donohue, Director of the Securities and Exchange Commission's Division of Investment Management, addressed several fund oversight issues in a
Posted - Wed Nov 18, 2009 1:19 am
 Baker, John
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Final Model Privacy Notice Form Issued
Eight federal regulators, including the Securities and Exchange Commission, today released a final model privacy notice form that is intended to make it easier
Posted - Wed Nov 18, 2009 12:58 am
 Baker, John
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SEC Proposes Dark Pool Rule Changes
The Securities and Exchange Commission has proposed rule changes to bring a measure of sunlight to dark pools of liquidity. Release No. 34-60997 (Nov. 13,
Posted - Mon Nov 16, 2009 1:33 am
 Baker, John
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Jones v. Harris Associates Oral Argument
As widely reported, the U.S. Supreme Court heard oral argument in Jones v. Harris Associates, No. 08-586, on Monday, November 2. The issue before the court
Posted - Sat Nov 7, 2009 2:45 am
 Baker, John
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SEC Extends Regulation S-AM Compliance Date
The Securities and Exchange Commission has extended the compliance date for its affiliate marketing rule, Regulation S-AM, from January 1 to June 1, 2010.
Posted - Fri Nov 6, 2009 8:48 pm
 Baker, John
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Message History

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
2009 4 4 6 8 6 6 5 2 1 6
2008 3 3 3 2 3 2 7 2 16 15 6 5
2007 3 3 4 1 7 3 6 1 2 4 1
2006 6 5 5 6 4 6 6 5 4 3 3 6
2005 2 9 9 5 10 13 2 4 13 4 7 5
2004 10 15 12 6 9 11 5 13 5 8 15 11
2003 17 11 8 8 17 9 9 16 17 16 11 14
2002 8 8 5 10 8 7 16 5 8 18 18 19
2001 20 16 13 14 25 16 16 11 15 11 4 21
2000 44 45 31 39 43 35 17 22 21 31 22 19
1999 1 17

Group Email Addresses

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