Updates
December 18, 2009
Investment Management Developments - December 2009
Our Investment Management Developments publication discusses the following topics:
- Federal Regulatory Agencies Release New Model Privacy Form
- SEC Adopts Regulation S-AM Limiting Affiliate Marketing Based on Consumer Eligibility Information
- Anticipated Changes to SEC Examination and Subpoena Processes
- Removal of References to NRSRO Ratings from Investment Company Act Rules
- Reforms Targeted at Increasing Market Transparency – Dark Pools and Flash Orders
- Proposed Reforms to Financial Regulation Would Affect Mutual Fund Industry
- Proposed Reforms to Financial Regulation Would Affect Hedge Fund Industry
- Committee Passes Investor Protection Act of 2009
- New Proxy Voting Rules Provide Flexibility on Notices
- Exchanges Issue New Guidelines for Resolving Clearly Erroneous Trades
- FINRA’s Proposed New Rules Governing Communications with the Public
- Massachusetts Finalizes Privacy Regulations
- Upcoming Seminars of Interest to Fund Directors and Trustees
Click on the PDF link above to read the full publication.
The material contained in this communication is informational, general in nature and does not constitute legal advice. The material contained in this communication should not be relied upon or used without consulting a lawyer to consider your specific circumstances. This communication was published on the date specified and may not include any changes in the topics, laws, rules or regulations covered. Receipt of this communication does not establish an attorney-client relationship. In some jurisdictions, this communication may be considered attorney advertising.
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