Updates
Mar-11
Investment Management Developments - March 2011
Our March 2011 issue of Investment Management Developments discusses the following topics:
- Investment Adviser Use of Social Media
- CFTC and SEC Propose Rule on Major Swap Participant and Major Security-Based Swap Participant Definition
- FBAR Regulations Released
- CFTC Proposes Narrowing or Eliminating CPO Registration Exemptions
- ICI Pushes for Private Liquidity Facility to Bolster Prime Money Market Funds, Rejects Other Options
- Industry Comments on FINRA’s Disclosure Requirement
- Industry Experts React to FinCEN’s Proposed Suspicious Activity Report Database
- Affiliated Firms and Chief Compliance Officer Charged with Altering Documents by SEC
The material contained in this communication is informational, general in nature and does not constitute legal advice. The material contained in this communication should not be relied upon or used without consulting a lawyer to consider your specific circumstances. This communication was published on the date specified and may not include any changes in the topics, laws, rules or regulations covered. Receipt of this communication does not establish an attorney-client relationship. In some jurisdictions, this communication may be considered attorney advertising.
Meet the Authors
