SEC makes technical amendment to definition of "covered associates" under "pay to play" rule of the Advisers Act *

USA - June 7 2012
On June 22, 2011, the Securities and Exchange Commission (SEC) adopted rules implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), including proposed amendments to Rule 206(4)-5, or the "pay-to-play" rules of the Investment Advisers Act of 1940 (Advisers Act) in response to changes made by the Dodd-Frank Act.

Co-authors: Cheri L. Hoff.

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SEC adopts rules implementing Dodd-Frank Act amendments to Investment Advisers Act *

USA - June 30 2011
On June 22, 2011, the Securities and Exchange Commission (SEC) adopted rules implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). 

Co-authors: Cheri L. Hoff.

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SEC proposes changes to performance fee rule *

USA - June 22 2011
On May 10, 2011, the Securities and Exchange Commission ("SEC") published a notice of its proposed amendments to Rule 205-3 under the Investment Advisers Act of 1940 ("Advisers Act").

Co-authors: Cheri L. Hoff.

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Proposed changes to FINRA Rule 5131 approved by the SEC *

USA - June 14 2011
Please note the following developments with respect to proposed amendments to FINRA Rule 5131, as described in our previous client alert, dated May 16, 2011.

Co-authors: Robert S. Frenchman, Cheri L. Hoff.

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SEC to vote at June 22 meeting on whether to adopt new rules and amendments implementing private fund manager registration provisions under Dodd-Frank *

USA - June 13 2011
The SEC announced that it will hold an open meeting at 10:00 a.m. on June 22, 2011 to consider whether to adopt certain rules and rule amendments to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act").

Co-authors: Cheri L. Hoff.

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