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

 

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