Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP

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Latest Posts › Investment Management


SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers

On May 20, the Securities Exchange Commission proposed changes to rules affecting the reporting and disclosure obligations of registered investment companies and advisers. Investment Company Proposals: The SEC...more

6/12/2015 - Counterparty Risk Debt Securities Derivatives Disclosure Requirements Form ADV Form N-Cen Form N-PORT Investment Adviser Investment Management Proposed Amendments Reporting Requirements SEC Stock Repurchases

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

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