Hedge Funds › FINRA

News & Analysis as of May 25, 2013

Bill on Bankruptcy: Easterbrook Turns the Tide on Student Loans
Weekly Brief: BoA Sued; SCOTUS Shortlists; Fund Fights Argentina
Baseball Analogy Catches Differences in Private Equity and Venture Capital Investment Theories
Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues

Third Circuit Holds Rule 10b-5 Violations May Be Imputed to Investment Management Company on Basis of Apparent Agency

by Mark Kornfeld, Marc Powers, Elizabeth Schutte | BakerHostetler on 3/19/2013

The United States Court of Appeals for the Third Circuit recently issued a decision that highlights the importance of investment management companies using extreme caution when promoting investment products to their clients,...more

Bernstein Shur Business and Commercial Litigation Newsletter #25

by Paul McDonald, Daniel J. Murphy | Bernstein Shur on 2/28/2013

We are pleased to present the 25th edition of the Bernstein Shur Business and Commercial Litigation Newsletter. This month, we highlight financial services industry news and developments, including continued support for...more

Investment Management Legal + Regulatory Update -- February 2013

by Luke T. Bagley, Jay G. Baris, Thomas M. Devaney, Kelley A. Howes, Robert E. Putney, III, Isabelle Sajous | Morrison & Foerster LLP on 2/14/2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

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

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 1/31/2013

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

Important Dates and Reminders for Investment Management Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and...

by Jeffrey D. Collins, Meredith Haviland | Foley Hoag LLP on 1/28/2013

Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures at least annually (and best practice is...more

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Hedge Funds › FINRA

Third Circuit Holds Rule 10b-5 Violations May Be Imputed to Investment Management Company on Basis of Apparent Agency

Bernstein Shur Business and Commercial Litigation Newsletter #25

Investment Management Legal + Regulatory Update -- February 2013

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

Important Dates and Reminders for Investment Management Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and...

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

Levick Weekly: Crowdfunding - How Communications Will Provide the Key to Capital

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

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