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Kathleen H. Moriarty

Kathleen H. Moriarty

Katten Muchin Rosenman LLP


Latest Publications

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FINRA Issues Interpretive Guidance on Use of Back Tested Index Data by ETPs

On April 22, the Financial Industry Regulatory Authority, Inc. issued to ALPS Distributors, Inc. interpretive guidance with respect to FINRA Rule 2210(d) and the use of hypothetical back tested index performance information,...more

5/21/2013

SEC Publishes Guidance on Filing Requirements for Interactive Content

On March 15, the Security and Exchange Commission’s Division of Investment Management issued guidance (Guidance) on when investment companies registered under the Investment Company Act of 1940 such as mutual funds and...more

3/26/2013 - Filing Requirements Interactive Content Investment Company Act of 1940 SEC

Head of SEC Investment Management Division Announces Top Regulatory Priorities

At the Practicing Law Institute’s conference, “The SEC Speaks in 2013,” held on February 22 in Washington, DC, Norm Champ, Director of the Division of Investment Management at the Securities and Exchange Commission (SEC),...more

2/26/2013 - Dodd-Frank ETFs Identity Theft Investment Adviser Investment Management Money Market Funds SEC Valuation Variable Annuities

NFA Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies

Under amended Commodity Futures Trading Commission Regulation 4.5, registered investment advisers (RIAs) to registered investment companies engaging in more than minimal commodity trading activities will be required to...more

12/29/2012 - CFTC CPO Investment Adviser NFA Registration

SEC Charges Eight Mutual Fund Directors for Failure on Valuations

On December 10, the Securities and Exchange Commission announced charges against eight former member of the boards of directors overseeing five mutual funds for violating their asset pricing responsibilities under the federal...more

12/29/2012 - Board of Directors Directors Enforcement Actions Fair Market Value Mutual Funds SEC Valuation

SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking...

In a speech on December 6 before the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal Compliance Forum on Institutional Advisory Services, Norm Champ, the new Director of the Division of Investment Management...more

12/18/2012 - Asset Management Derivatives ETFs Investment Adviser JOBS Act Moratorium SEC

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