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Supreme Court Allows Whistleblower Protection for Fund Adviser Emplo The U.S. Supreme Court has ruled that the antiretaliation provision of the Sarbanes-Oxley Act of 2002 protects employees of contractors and subcontractors to
Impact of Volcker Rule on RICs As widely reported, the Volcker Rule restricts the ability of a banking entity to engage in proprietary trading and to have certain interests in covered funds.
SEC Warns of Fixed Income Fund Risk In another example of regulatory concerns that fixed income investments may be stressed by interest rate increases, the Securities and Exchange Commission's
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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
Dec 3, 2013#1389
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.
Nov 18, 2013#1388
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
Nov 13, 2013#1387
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
Nov 12, 2013#1386
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.
Oct 2, 2013#1385
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
Sep 30, 2013#1384
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.
Aug 28, 2013#1383
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
Aug 13, 2013#1382
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
Jul 24, 2013#1381
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
Jul 22, 2013#1380
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
Jul 21, 2013#1379
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
Jul 9, 2013#1378
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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
Jul 3, 2013#1377
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
Jun 25, 2013#1376
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,
Jun 9, 2013#1375
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
May 29, 2013#1374
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
May 28, 2013#1373
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
May 20, 2013#1372
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
Apr 11, 2013#1371
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.
Feb 28, 2013#1370
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
Feb 25, 2013#1369
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
Feb 24, 2013#1368
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
Jan 29, 2013#1367
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
Jan 24, 2013#1366
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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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