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1407

SEC Guidance on Gifts to Fund Advisory Personnel The Securities and Exchange Commission's Division of Investment Management today issued guidance highlighting the conflict of interest that arises when the

Baker, John
Feb 23
#1407
 

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1406

FSOC Seeks Comment on Asset Management The Financial Stability Oversight Council today issued a Notice Seeking Comment on Asset Management Products and Activities. According to the notice, FSOC is

Baker, John
Dec 18, 2014
#1406
 

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1405

SEC Opinion on Rule 10b-5 and Section 17(a) The Securities and Exchange Commission has issued a major opinion, thus far without fanfare, on the application of the antifraud provisions of Rule 10b-5 under

Baker, John
Dec 17, 2014
#1405
 

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1404

White Addresses Asset Management Regulation Securities and Exchange Commission Chairman Mary Jo White focused on the regulation of the asset management industry in a speech today. The speech expands on

Baker, John
Dec 11, 2014
#1404
 

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1403

SEC Fall 2014 Regulatory Agenda The Securities and Exchange Commission on November 21 released its Fall 2014 semiannual regulatory agenda, and it includes several agenda items of interest to

fundlaw
Dec 3, 2014
#1403
 

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1402

SEC Crackdown on Late Beneficial Ownership Reports The Securities and Exchange Commission today announced the institution of administrative proceedings against 34 respondents in connection with failures to file

Baker, John
Sep 10, 2014
#1402
 

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1401

Suit Brought To Challenge SEC's Pay-to-Play Rule Two Republican state party organizations have brought suit in federal court to overturn the Securities and Exchange Commission's pay-to-play rule for

Baker, John
Aug 10, 2014
#1401
 

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1400

FinCEN Proposes Customer Due Diligence Requirements The Treasury Department's Financial Crimes Enforcement Network has proposed amendments to its anti-money laundering rules to clarify and strengthen customer

Baker, John
Jul 31, 2014
#1400
 

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1399

SEC Finalizes Money Market Fund Reform The Securities and Exchange Commission today adopted rule amendments that will require institutional prime and tax-exempt money market funds to have a floating

Baker, John
Jul 23, 2014
#1399
 

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1398

SEC To Consider Money Market Fund Rules The Securities and Exchange Commission will consider adoption of amendments to the rules governing money market funds at an open meeting at 10 a.m. on

Baker, John
Jul 16, 2014
#1398
 

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1397

SEC Guidance on Proxy Voting Advice The Securities and Exchange Commission's Divisions of Investment Management and Corporation Finance have jointly issued guidance on the proxy voting

Baker, John
Jun 30, 2014
#1397
 

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1396

SEC Guidance on Mutual Fund Disclosure The Securities and Exchange Commission's Division of Investment Management has issued guidance on the SEC's mutual fund disclosure amendments adopted in 2009.

Baker, John
Jun 27, 2014
#1396
 

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1395

Supreme Court Refuses To Overturn Fraud-on-the-Market Presumption The U.S. Supreme Court has refused to overturn its precedent allowing the reliance element of a securities fraud class action to be met using the

Baker, John
Jun 24, 2014
#1395
 

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1394

Second Circuit Sets Standard for Approving Consent Decrees The U.S. Court of Appeals for the Second Circuit has released a decision setting standards for judicial consideration of proposed consent decrees in cases

Baker, John
Jun 4, 2014
#1394
 

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1393

Strict Limitations Period Applied to SEC Enforcement Actions A federal judge in Florida has ruled that enforcement actions by the Securities and Exchange Commission (and, presumably, other federal agencies) are subject

Baker, John
May 15, 2014
#1393
 
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