July 28, 2010 SEC Proposes Substantial Changes In Mutual Fund Distribution Regulatory Scheme
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July 23, 2010 The Dodd-Frank Act Overhauls The Regulation of Private Fund Managers and Other Money Managers
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July 9, 2010 SEC Adopts New Rule Designed to Deter Pay-To-Play Activities by Investment Advisers
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June 3, 2010 Congress Is on Track To Pass a Comprehensive Financial Services Regulatory Overhaul Bill In 2010 Resulting In Increased Regulation of Private Fund Managers
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April 2, 2010 Supreme Court Upholds Gartenberg Standard
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April 1, 2010 Supreme Court Emphasizes Role of Deference to Independent Directors in Mutual Fund Fee Litigation
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March 23, 2010 Implications of Senator Dodd’s Financial Reform Proposal For Private Fund Managers and Other Money Managers
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March 12, 2010 The First Circuit Rejects Primary Rule 10b-5 Liability For Underwriters
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March 12, 2010 First Circuit Rejects Primary Rule 10b-5 Liability for Underwriters
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January 11, 2010 SEC Adopts Amendments to The Advisers Act Custody Rule
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August 12, 2009 SEC Proposes New Rule Intended To Address Pay-To-Play Activities By Investment Advisers
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August 4, 2009 Second Circuit Affirms Dismissal of Securities Fraud Claims Against Investment Adviser That Failed to Detect a Ponzi Scheme
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May 14, 2009 CalPERS, Nation’s Largest Public Pension Fund, Adopts New Policy On Placement Agents
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May 6, 2009 New York Pension Fund Scandal Widens; New York State Attorney General Creates Task Force of 36 State Attorneys General To Investigate Pension Fund Abuse
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January 30, 2009 Bill Introduced in Senate to Subject Private Funds and Their Advisers to SEC Registration
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December 17, 2008 The Madoff Scandal: Money Managers Should Prepare Now For Increased Scrutiny By Investors
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July 15, 2008 SEC Announces Examinations Focusing on the Dissemination of False Information Intended to Manipulate Stock Prices
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June 27, 2008 Book-Entry Deposit Procedures for Certain Offerings by Non-U.S. Issuers under Section 3(c)(7) of the Investment Company Act
Additionally, please see an earlier article entitled New Developments in Procedures for Book-Entry Deposit of Rule 144A Securities by Certain Issuers Relying on Section 3(c)(7) of the Investment Company Act, dated March 2003, which was also co-authored by Barry Barbash.
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December 4, 2007 SEC Proposes Amendments to Mutual Fund Disclosure and Prospectus Delivery Requirements
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June 22, 2007 SEC Holds Roundtable On Rule 12b-1
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June 7, 2007 DOJ Imposes Fine on Hedge Fund Manager for Failure to File HSR
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July 27, 2006 Client Alert: July 25, 2006 Senate Banking Committee Hearing on the Regulation of Hedge Funds
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June 16, 2006 SEC No-Action Letter Provides Guidance Under Section 206(3) of the Advisers Act on Cross Trades Between Client Accounts and Accounts Owned in Part by the Adviser
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May 25, 2006 Securities and Exchange Commission Brings First Ever Enforcement Action Under the USA Patriot Act
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April 26, 2006 Client Alert: SEC Chairman Christopher Cox Makes First Appearance before the Senate Banking Committee
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March 1, 2003 New Developments in Procedures for Book-Entry Deposit of Rule 144A Securities by Certain Issuers Relying on Section 3(c)(7) of the Investment Company Act
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