For Lawyers | Log In | Join | Upload
WORKING... advanced
Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP


Latest Posts › SEC

Share:

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

SEC Risk Alert Identifies Common Adviser Custody Rule Deficiencies

On March 14, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission released a National Exam Program Risk Alert (Risk Alert). The Risk Alert discussed common deficiencies in respect of...more

3/20/2013 - Custody Rule Investment Advisers Act of 1940 Risk Alert SEC

SEC Division of Trading and Markets Discusses Issues with Exchange-Traded Products

In a February 22 speech at The SEC Speaks in 2013, Associate Director of the Division of Trading and Markets of the Securities and Exchange Commission Heather Seidel discussed the evolution of exchange-traded products (ETPs)...more

3/6/2013 - Exchange-Traded Products SEC Securities Exchange Act

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

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

×

Expand Your Reach

JD Supra gets your content noticed, increases your visibility and makes your marketing efforts hassle free...

Learn More  or  Schedule a demo

Start a limited-feature trial account (individuals only).