November 23, 2010

Investment Management Developments - November 2010

Our November 2010 issue of Investment Management Developments discusses the following topics:

  • SEC Stays Final Proxy Access Rules
  • SEC Requests Comment on PWG Report on Money Market Fund Reform Options
  • Anti-Fraud Rule for Security-Based Swaps Proposed by SEC
  • SEC Advises Boards Not to Delegate Transaction Review
  • SEC Proposes Rule Excluding “Family Offices” from Regulation under the Advisers Act
  • FINRA Requests Comment on Proposed Broker-Dealer Disclosure Statement
  • Expansive Whistleblower Rule Proposed by SEC
  • OCIE Set to Broaden Exam Scope 
  • Insider Trading Claims in Connection with PIPEs
  • SEC Charges Broker-Dealer For Deficient CIP Procedures

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

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