In This Issue:
- Regulation: Long-Awaited Money Market Fund Rules Adopted
- SEC Staff Offers Guidance Regarding Investment Advisers and Proxy Advisory Firms
- SEC Staff Closes Loophole on BDC Asset...more
9/17/2014
/ Banks ,
CFTC ,
Conflicts of Interest ,
CPO ,
Dodd-Frank ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
Liquidity Fees ,
Money Market Funds ,
Municipal Advisers ,
NAV ,
Pay-To-Play ,
Proxy Advisors ,
Redemption Gates ,
Securities and Exchange Commission (SEC) ,
Strategic Enforcement Plan ,
Whistleblowers
Clearly signaling its intention to support whistleblowers who provide actionable evidence of wrong-doing, the SEC this week settled the first case brought under the authority granted by the Dodd-Frank Act enabling...more
Following closely on the heels of FINRA’s publication of its examination priorities for 2014 (see our recent client alert), OCIE’s National Exam Program (NEP) released a summary of its 2014 priorities. OCIE’s priorities...more
Stephen Cohen, the SEC’s Associate Director of Enforcement, tied robust compliance programs to enforcement “credits”.
In remarks to compliance and ethics professionals at the annual conference of the Society of...more
In This Issue:
Regulatory Updates -
SEC Proposes Money Market Reform; SEC Eases Ban on General Solicitation and General Advertising in Certain Private Placements; SEC and CFTC Adopt Joint Rules to Address...more
7/19/2013
/ Broker-Dealer ,
CFTC ,
Disclosure Requirements ,
FSOC ,
General Solicitation ,
Identity Theft ,
Insider Trading ,
Investment Funds ,
JOBS Act ,
Marketing ,
Money Laundering ,
Money Market Funds ,
New Legislation ,
New Regulations ,
Nonbank Firms ,
NYSE ,
Private Placements ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Tax Reform ,
Whistleblowers