Michael Wible

SEC Approves Form PF

On October 26, 2011, the Securities and Exchange Commission (SEC) adopted Rule 204b-1 under the Investment Advisers Act of 194o. The rule requires investment advisers registered with the SEC that advise one or more private funds…more
| Finance & Banking, Securities Law

The Future of Managed Futures Funds: Proposed Amendments to Rule 4.5 under the Commodity Exchange Act

On February 11, 2011, the Commodity Futures Trading Commission proposed amending Rule 4.5 to reimpose on registered investment companies operating restrictions that were eliminated in 2003. Adoption of the proposed amendments…more
| Securities Law

SEC Proposes Rules and Form ADV Amendments Implementing the Investment Advisers Act Provisions of the Dodd-Frank Act

On November 19, the Securities and Exchange Commission (SEC) proposed new rules and rule amendments under the Investment Advisers Act of 1940 (“Advisers Act”) to implement provisions of the Dodd-Frank Wall Street…more
| Securities Law

FINRA Proposes Broker Disclosure Statement for Retail Investors

The Financial Industry Regulatory Authority (FINRA) issued a concept release requesting comment on a proposal requiring that member firms provide new retail customers with a written disclosure statement that details the types of…more

President's Working Group Report on Money Market Fund Reform Options

On October 21, 2010, the President's Working Group on Financial Markets (the "PWG") released its long-awaited report on money market fund reform options. The genesis of the PWG Report dates back to the run on money market…more

SEC Proposes Rule Defining "Family Office" Exclusion Under Investment Advisers Act

On October 12, the Securities and Exchange Commission (SEC) proposed Rule 202(a)(11)(G)-1 (“Proposed Rule”) under the Investment Advisers Act of 1940, as amended (“Advisers Act”). The purpose of the…more
| Securities Law

SEC Adopts Amendments to Form ADV

On July 21, the Securities and Exchange Commission (SEC) adopted amendments to Part 2 of Form ADV and related rules under the Investment Advisers Act of 1940 (the…more

SEC Proposes Rescinding Rule 12b-1 and Overhauling Mutual Fund Distribution Fees

On July 21, the Securities and Exchange Commission (SEC) proposed rescinding Rule 12b-1 under the Investment Company Act of 1940 (the…more
| Securities Law

SEC Adopts Pay to Play Rules

On July 1, the Securities and Exchange Commission (SEC) voted unanimously to adopt a rule designed to curb…more
| Securities Law

Enhanced Governance and Risk Oversight Disclosure for Investment Companies

On December 16, 2009, the Securities and Exchange Commission (SEC) adopted final rule and form amendments requiring new or expanded disclosure in proxy and registration statements. The disclosure enhancements, which were…more
| Securities Law
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