Updates
November 23, 2010
Investment Management Developments - November 2010
Our November 2010 issue of Investment Management Developments discusses the following topics:
- SEC Stays Final Proxy Access Rules
- SEC Requests Comment on PWG Report on Money Market Fund Reform Options
- Anti-Fraud Rule for Security-Based Swaps Proposed by SEC
- SEC Advises Boards Not to Delegate Transaction Review
- SEC Proposes Rule Excluding “Family Offices” from Regulation under the Advisers Act
- FINRA Requests Comment on Proposed Broker-Dealer Disclosure Statement
- Expansive Whistleblower Rule Proposed by SEC
- OCIE Set to Broaden Exam Scope
- Insider Trading Claims in Connection with PIPEs
- SEC Charges Broker-Dealer For Deficient CIP Procedures
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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