Jay G. Baris

Jay G. Baris

Morrison & Foerster LLP

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Investment Management Legal + Regulatory Update – February 2017

REGULATION - DOL Issues Additional Guidance on Fiduciary Rule - On January 13, 2017, the U.S. Department of Labor (“DOL”) issued a second set of guidance on its new fiduciary rules, which are scheduled to become...more

2/2/2017 - Attorney-Client Privilege Broker-Dealer Brokers Capital Acquisition Broker (CAB) Conflicts of Interest Cross-Selling DOL Examination Priorities Exploitation Fiduciary Rule FINRA Investment Adviser Liquidity Risk Management Rule Mutual Funds OCIE Pay-To-Play Sales Load Variations SEC Section 36(b) Swing Pricing Trustees

Mutual Funds Come Clean: Brokers Can Set Fund Share Sales Charges

The staff of the SEC’s Division of Investment Management effectively allowed brokers to determine the commissions they will charge their customers who buy “Clean Shares” of mutual funds. In a “no-action” letter...more

1/24/2017 - Brokers Division of Investment Management Fiduciary Rule Investment Company Act of 1940 Mutual Funds No-Action Letters SEC

Investment Management Legal + Regulatory Update -- February 2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

2/14/2013 - ALJ Brokers CoC Enforcement Fines FINRA Hedge Funds Investment Adviser Investment Funds SEC Stock Repurchases Valuation

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