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1409

Supreme Court Rules on Liability for Statements of Opinion

The U.S. Supreme Court has ruled that statements of opinion in a registration statement may give rise to liability under Section 11 of the Securities Act of
Baker, John
Mar 25
#1409
 
1408

Ninth Circuit Allows Mutual Fund Shareholder Suit

In a potentially far-reaching development, the U.S. Court of Appeals for the Ninth Circuit has reinstated a shareholder class action against the trustees and
Baker, John
Mar 9
#1408
 
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
 
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
 
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
 
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
 
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
 
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
 
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
 
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
 
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
 
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
 
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
 
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
 
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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