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.