Non-Enforcement Matters

  • New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program
  • FINRA Rule 5123 Revisited

Enforcement Matters

  • SEC Accuses Hedge Fund Manager of “Cherry Picking” at the Expense of Clients’ Interests
  • SEC Charges Funds’ Board of Directors Individually for Failure to Fulfill Their Fair Pricing Obligations to Fund Investors