Terry D. Nelson

Terry D. Nelson

Foley & Lardner LLP

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A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - 2015 Legislative Agenda Includes Dodd-Frank Revisit and Cybersecurity. Enforcement - SEC Enforcement Action Underscores Importance of Custody Rule Compliance - Joint SEC/State...more

3/2/2015 - Custody Rule Cybersecurity Dodd-Frank Enforcement Actions Hedge Funds SEC

A Compilation of Enforcement and Non-Enforcement Actions

SEC Looks to Step Up Oversight of the Fund Industry - At a recent conference, Mary Jo White, SEC chairman, announced that the SEC will look to increase its scrutiny of the mutual fund asset management segment to ensure...more

1/2/2015 - Enforcement Enforcement Actions False Statements Family Offices Hedge Funds Mutual Funds SEC Securities Securities Fraud Strategic Enforcement Plan

A Compilation of Enforcement and Non-Enforcement Actions - 02/03/14

SEC Initiates Enforcement Action Against Hedge Fund Adviser - The SEC initiated an administrative proceeding on January 8, 2014 against Patrick G. Rooney (“Rooney”), the sole owner and managing partner of Solaris...more

2/3/2014 - Compliance Enforcement Actions Fraud Hedge Funds OCIE SEC Securities Fraud

A Compilation of Enforcement and Non-Enforcement Actions - December 31, 2013

Investment Advisers — Are Your “IA Reps” Registered as Required? Why You Should Care - As we approach the end of the calendar year, it is a good time for investment advisers to check if all of its personnel who are...more

12/31/2013 - Chief Compliance Officers Compliance Enforcement Enforcement Actions Hedge Funds Investment Adviser Investment Advisory Agreements SEC

Summary of the Volcker Rule

On December 10, 2013, the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, and the Commodity...more

12/17/2013 - Bank Holding Company Act Banking Crisis Banking Sector CFTC Commodity Sale Agreements Compliance Depository Institutions Derivatives Dodd-Frank FDIC Federal Reserve Financial Instruments Foreign Investment Hedge Funds High-Risk Mortgages Investment Management Nonbank Firms OCC Private Equity Funds Proprietary Trading Risk Assessment Risk Management SEC Security Volcker Rule

A Compilation of Enforcement and Non-Enforcement Actions - October 30, 2013

Non-Enforcement Matters: - No Rush to Advertise by Hedge Funds - Updated Guidance From the SEC - Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers Enforcement...more

10/30/2013 - Dodd-Frank Enforcement Enforcement Actions Hedge Funds Investment Adviser Non-Enforcement SEC

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

1/31/2013 - Complex Financial Products Compliance Cybersecurity Data Protection Enforcement FINRA Hedge Funds Insider Trading Money Laundering Non-Enforcement Private Placements SEC

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

12/28/2012 - Board of Directors Dodd-Frank Enforcement Fiduciary Duty FINRA Hedge Funds Investment Adviser SEC

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

12/1/2012 - Compliance Dodd-Frank FINRA Hedge Funds Insider Trading Investment Adviser Private Investment Funds SEC

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