Zachary E. Vonnegut-Gabovitch

Morgan Lewis

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Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

Table of Contents: Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority. Executive Summary - This Outline highlights key U.S. Securities and Exchange...more

2/19/2014 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

5/10/2013 - Advisory Contracts Disclosure Requirements Investment Adviser Investment Company Act of 1940 Mutual Funds SEC Settlement

CFTC Staff No-Action Relief for Family Offices and Fund of Funds Operators

Claims for relief from CPO registration by qualifying family offices and fund of funds operators must be filed by December 31. On November 29, the Commodity Futures Trading Commission's (CFTC's) Division of Swap Dealer...more

12/6/2012 - CFTC Commodity Pool Family Offices No-Action Relief

Compilation of SEC Staff Guidance on Securities Lending

Division of Investment Management's guidance on securities lending by open-end and closed-end investment companies provides a reminder of legal obligations in lending programs. ...more

11/27/2012 - SEC

Temporary Relief for Swap Data Reporting Requirements

CFTC issues no-action letter establishing uniform compliance dates and temporary relief for reporting of swap transaction data for swap dealers. On November 19, the Commodity Futures Trading Commission's (CFTC's)...more

11/26/2012 - CFTC DMO DSIO Swaps

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