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.