The Securities and Exchange Commission has announced that it will not seek rehearing or Supreme Court review of the decision of the U.S. Court of Appeals for...
1334
Baker, John
fundlaw
Sep 14, 2011 12:36 am
The staff of the Securities and Exchange Commission has provided conditional no-action relief from a recordkeeping requirement for the pay-to-play rule....
1335
fundlaw
Oct 6, 2011 6:31 pm
The U.S. Court of Appeals for the Second Circuit has ruled that the Financial Industry Regulatory Authority does not have the authority to bring court actions...
1336
fundlaw
Oct 12, 2011 1:51 am
The Financial Stability Oversight Council has reproposed a rule and proposed interpretive guidance to describe the manner in which the FSOC intends to...
1337
fundlaw
Nov 8, 2011 1:11 am
Money market fund reform continues to have a high profile at the Securities and Exchange Commission, according to SEC Chairman Mary Schapiro, who devoted the...
1338
Baker, John
jbaker@...
Nov 17, 2011 5:00 am
The Securities and Exchange Commission has announced the settlement of an enforcement action against the primary investment adviser to a closed-end fund for...
1339
Baker, John
jbaker@...
Dec 1, 2011 12:27 am
As widely reported, Federal Judge Jed Rakoff has refused to approve a consent judgment sought by the Securities and Exchange Commission. SEC v. Citigroup...
1340
Baker, John
jbaker@...
Dec 9, 2011 2:25 am
A federal bankruptcy judge has ruled that investors in TBA contracts do not have customer claims under the Securities Investor Protection Act of 1970. In re...
1341
Baker, John
jbaker@...
Jan 4, 2012 11:59 pm
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations has issued a National Examination Risk Alert on Investment Adviser...
1342
Baker, John
jbaker@...
Jan 13, 2012 10:26 pm
The Securities and Exchange Commission will seek further public comments and data before proposing any rule to impose a fiduciary duty on broker-dealers,...
1343
Baker, John
jbaker@...
Feb 14, 2012 2:27 am
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...
