The Commodity Futures Trading Commission, by a 4 - 1 vote, has sharply narrowed the exemptions from commodity pool operator status that are available with...
1344
Baker, John
jbaker@...
Mar 23, 2012 2:30 am
With surprisingly little fanfare, the U.S. Senate, by a vote of 73 - 26, today passed its version of H.R. 3606, the proposed Jumpstart Our Business Startups...
1345
Baker, John
jbaker@...
Mar 27, 2012 7:00 pm
The U.S. House of Representatives, by a 380 - 41 vote, has passed H.R. 3606, the Jumpstart Our Business Startups Act, in the form previously approved by the...
1346
Baker, John
jbaker@...
Apr 5, 2012 7:00 pm
President Obama today signed into law H.R. 3606, the Jumpstart Our Business Startups Act. The Act's provisions are immediately effective with respect to...
1347
Baker, John
jbaker@...
Apr 9, 2012 12:06 am
The Financial Stability Oversight Council has adopted a final rule and interpretive guidance concerning its standards and processes for determining that a...
1348
Baker, John
jbaker@...
Apr 18, 2012 12:28 am
The Investment Company Institute and the Chamber of Commerce of the United States have brought suit against the Commodity Futures Trading Commission to...
1349
fundlaw
Apr 28, 2012 2:22 pm
The Technical Committee of the International Organization of Securities Commissions has issued a consultation report sharing its views and seeking comments on...
1350
Baker, John
jbaker@...
May 3, 2012 9:31 pm
Registered investment companies do not qualify as "emerging growth companies" under the Jumpstart Our Business Startups Act, according to guidance on Title I...
1351
Baker, John
jbaker@...
May 11, 2012 10:06 pm
In an unusual step, three of the five Commissioners of the Securities and Exchange Commission have issued a statement critical of the publication of the...
1352
Baker, John
jbaker@...
May 29, 2012 2:42 am
The staff of the Securities and Exchange Commission has issued a no-action letter allowing master funds in a master-feeder arrangement, when calculating...
1353
Baker, John
jbaker@...
Jun 8, 2012 8:47 pm
The Securities and Exchange Commission has again extended the compliance date for the third-party solicitor provisions of Rule 206(4)-5 under the Investment...
1354
Baker, John
jbaker@...
Jul 3, 2012 12:39 am
The Securities and Exchange Commission has announced that, at an open meeting on August 22, it will consider rules to eliminate the prohibition against general...
1355
Baker, John
jbaker@...
Aug 20, 2012 1:22 am
The U.S. Court of Appeals for the Second Circuit has approved a jury instruction defining when information is "nonpublic" and thus subject to strictures on...
1356
Baker, John
jbaker@...
Aug 21, 2012 8:51 pm
The Securities and Exchange Commission today announced that it will consider private placement rule changes required by the Jumpstart Our Business Startups Act...
1357
Baker, John
jbaker@...
Aug 23, 2012 3:25 am
Securities and Exchange Commission Chairman Mary Schapiro has announced that she was unable to persuade two more SEC Commissioners to join her in supporting a...
1358
Baker, John
jbaker@...
Aug 29, 2012 12:20 am
Commissioners Daniel Gallagher and Troy Paredes, the two Republican members of the Securities and Exchange Commission, today issued a joint statement...
1359
Burt, Jessica
burt.jessica
Sep 5, 2012 10:56 pm
At an open meeting on August 29, 2012, the Securities and Exchange Commission proposed rules to eliminate the prohibition against general solicitation and...
1360
Baker, John
jbaker@...
Sep 26, 2012 2:41 am
Federal Judge Peter Sheridan, who sits in New Jersey, has ruled that the holder of a variable annuity has standing to bring a claim under Section 36(b) of the...
1361
Baker, John
jbaker@...
Sep 28, 2012 4:00 am
Treasury Secretary Timothy Geithner, in his capacity as Chairperson of the Financial Stability Oversight Council, has circulated a letter to other FSOC members...
1362
Baker, John
jbaker@...
Nov 15, 2012 6:45 am
The Financial Stability Oversight Council on Tuesday released Proposed Recommendations Regarding Money Market Mutual Fund Reform (Nov. 2012). The proposed...
1363
Baker, John
jbaker@...
Dec 10, 2012 3:35 am
Norm Champ, Director of the Division of Investment Management at the Securities and Exchange Commission, on Thursday gave a speech on the current work of the...
1364
Baker, John
jbaker@...
Dec 13, 2012 2:29 am
The U.S. District Court for the District of Columbia has rejected a challenge to the Commodity Futures Trading Commission's rule changes that will require some...
1365
Baker, John
jbaker@...
Dec 18, 2012 4:25 am
A federal judge in New Jersey has refused to dismiss a complaint under Section 36(b) of the Investment Company Act of 1940 alleging excessive investment...
1366
Baker, John
jbaker@...
Jan 25, 2013 12:29 am
As widely reported, President Obama announced today that he will nominate Mary Jo White to serve as a member of the Securities and Exchange Commission and will...
1367
Baker, John
jbaker@...
Jan 29, 2013 8:43 pm
Two shareholders of a family of exchange-traded funds have brought suit against the ETFs' investment adviser and trustees for allegedly excessive compensation...
1368
Baker, John
jbaker@...
Feb 25, 2013 6:00 am
A FINRA hearing panel has ruled that FINRA rules contravene the Federal Arbitration Act and are unenforceable to the extent that they forbid customer...
1369
Baker, John
jbaker@...
Feb 25, 2013 11:56 pm
The staff of the Securities and Exchange Commission has announced that reported after-tax returns for mutual funds and exchange-traded funds must be adjusted...
1370
Baker, John
jbaker@...
Feb 28, 2013 11:08 pm
The Supreme Court ruled yesterday that there is no requirement to prove materiality before certification of a class action under Rule 10b-5. Amgen Inc. v....
1371
Baker, John
jbaker@...
Apr 11, 2013 11:36 pm
The Securities and Exchange Commission and the Commodity Futures Trading Commission have jointly adopted rules requiring affected entities to develop and...
1372
Baker, John
jbaker@...
May 21, 2013 12:15 am
The Supreme Court has granted certiorari to consider whether the anti-retaliation provisions of the Sarbanes-Oxley Act of 2002 extend protection to employees...
