December 18, 2009

Investment Management Developments - December 2009

Our Investment Management Developments publication discusses the following topics:


    • Federal Regulatory Agencies Release New Model Privacy Form
    • SEC Adopts Regulation S-AM Limiting Affiliate Marketing Based on Consumer Eligibility Information
    • Anticipated Changes to SEC Examination and Subpoena Processes
    • Removal of References to NRSRO Ratings from Investment Company Act Rules
    • Reforms Targeted at Increasing Market Transparency – Dark Pools and Flash Orders
    • Proposed Reforms to Financial Regulation Would Affect Mutual Fund Industry
    • Proposed Reforms to Financial Regulation Would Affect Hedge Fund Industry
    • Committee Passes Investor Protection Act of 2009
    • New Proxy Voting Rules Provide Flexibility on Notices
    • Exchanges Issue New Guidelines for Resolving Clearly Erroneous Trades
    • FINRA’s Proposed New Rules Governing Communications with the Public
    • Massachusetts Finalizes Privacy Regulations
    • Upcoming Seminars of Interest to Fund Directors and Trustees

Click on the PDF link above to read the full publication.

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