Loading ...
Sorry, an error occurred while loading the content.

Messages List

1413

SEC Cybersecurity Guidance

The Securities and Exchange Commission's Division of Investment Management today issued guidance identifying the cybersecurity of registered investment
Baker, John
Apr 28
#1413
 
1412

SEC FAQs on Money Market Fund Reforms and Valuation

The Securities and Exchange Commission's Division of Investment Management today released responses to frequently asked questions on the money market fund
Baker, John
Apr 22
#1412
 
1411

Re: SEC Enforcement Action on Fund Adviser Profitability Analyses

The SEC's original URL for this administrative proceeding included 34- in the file name, indicating a proceeding under the 1934 Act, when it should have been
fundlaw
Apr 21
#1411
 
1410

SEC Enforcement Action on Fund Adviser Profitability Analyses

The Securities and Exchange Commission today instituted and settled an enforcement action against an investment adviser to a family of mutual funds for
Baker, John
Apr 21
#1410
 
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
 
View First Topic Go to View Last Topic
Loading 1 - 15 of total 1,413 messages