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Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP


Latest Posts › Investment Adviser

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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 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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