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Fall 2013 SEC Unified Agenda The Securities and Exchange Commission's Fall 2013 regulatory agenda is now available on reginfo.gov. The SEC, like other federal agencies, publishes its
Supreme Court May Reconsider Fraud-on-the-Market As widely reported, the Supreme Court has agreed to review a case questioning the viability of the fraud-on-the-market doctrine. Halliburton Co. v. Erica P.
Some Funds May Have To Change Names The Securities and Exchange Commission's Division of Investment Management has issued guidance encouraging the evaluation of fund names that suggest safety or
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Re: Oral Argument Held in Whistle-Blower Case The Supreme Court today held oral argument in Lawson v. FMR LLC, No. 12-3, which presents the question whether an employee of a privately held contractor or
SEC Allows Mergers of Affiliated ETFs The Securities and Exchange Commission's Division of Investment Management has issued general guidance allowing the merger of affiliated exchange-traded funds.
Government Shutdown Appears Imminent; SEC Will Be Open for Now At this point it appears likely that Congress will not be able to reach agreement on a continuing resolution to fund the federal government when the existing
Court Dismisses Securities Lending Compensation Claim A federal judge has dismissed a derivative claim that BlackRock overcharges iShares exchange-traded funds for its services as securities lending agent.
CFTC Harmonizes CPO Compliance Obligations The Commodity Futures Trading Commission today adopted final rules to harmonize compliance obligations for commodity pool operators of registered investment
Seventh Circuit Remands Mutual Fund Insider Trading Case Does it violate the federal securities laws when a mutual fund insider relies on inside information in redeeming shares? It's an open question, according to a
Fifth Circuit Limits Whistleblowers Entitled to Protection The U.S. Court of Appeals for the Fifth Circuit has ruled that the anti-retaliation provision of the Dodd-Frank Act protects only whistleblowers who provide
SEC Staff Guidance on Tri-Party Repos The Securities and Exchange Commission's Division of Investment Management has issued guidance for money market funds on counterparty risk management practices
Magistrate Recommends No Jury Trial for 36(b) Plaintiffs Do plaintiffs suing a fund adviser for excess compensation under Section 36(b) of the Investment Company Act of 1940 have a right to trial by jury? Courts
SEC To Consider JOBS Act Private Placement Rule at Open Meeting The Securities and Exchange Commission has announced that it will consider amendments to its private placement rules mandated by the JOBS Act, and related rule
D.C. Circuit Upholds CFTC Rule Change The U.S. Court of Appeals for the D.C. Circuit has upheld a Commodity Futures Trading Commission rule change requiring some investment advisers to mutual funds
SEC Proposes Money Market Fund Amendments The Securities and Exchange Commission has proposed revisions to its rules governing money market funds. Release Nos. 33-9408, IA-3616, IC-30551 (June 5,
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SEC Open Meeting To Consider Money Market Fund Rules The Securities and Exchange Commission has scheduled an open meeting on Wednesday, June 5, to consider proposing amendments to its rules governing the
Sixth Circuit Lowers Bar for Soft Information Prospectus Claims The U.S. Court of Appeals for the Sixth Circuit has ruled that plaintiffs, in a claim made under Section 11 of the Securities Act of 1933, need not show that
Supreme Court To Consider Fund Adviser Retaliation Claims The Supreme Court has granted certiorari to consider whether the anti-retaliation provisions of the Sarbanes-Oxley Act of 2002 extend protection to employees
SEC and CFTC Adopt Final Identity Theft Red Flags Rules The Securities and Exchange Commission and the Commodity Futures Trading Commission have jointly adopted rules requiring affected entities to develop and
Supreme Court Rules on Class Actions, Statute of Limitations 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.
Mutual Fund After-Tax Returns Must Be Adjusted 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
FINRA Panel Rules Customer Agreements Can Waive Class Actions A FINRA hearing panel has ruled that FINRA rules contravene the Federal Arbitration Act and are unenforceable to the extent that they forbid customer
Complaint Filed for Excessive Securities Lending Compensation Two shareholders of a family of exchange-traded funds have brought suit against the ETFs' investment adviser and trustees for allegedly excessive compensation
Mary Jo White Nominated To Chair SEC 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
Court Refuses To Dismisses Amended 36(b) Complaint 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
Dec 17, 2012#1365
District Court Upholds CFTC's CPO Rule Change 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
Dec 12, 2012#1364
Champ Discusses SEC Initiatives Relating to Investment Advisers 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
Dec 9, 2012#1363
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FSOC Proposes Money Market Fund Reforms The Financial Stability Oversight Council on Tuesday released Proposed Recommendations Regarding Money Market Mutual Fund Reform (Nov. 2012). The proposed
Nov 14, 2012#1362
Geithner Plans FSOC Recommendation on Money Market Fund Reform Treasury Secretary Timothy Geithner, in his capacity as Chairperson of the Financial Stability Oversight Council, has circulated a letter to other FSOC members
Sep 27, 2012#1361
Court Rules Variable Annuity Holders Have � 36(b) Standing 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
Sep 25, 2012#1360
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