A compilation of enforcement and non-enforcement actions (April 2013) *

USA - April 30 2013
The ongoing debate about shoring up the oversight of federally registered investment advisers found another voice (or at least the reintroduction of…

Co-authors: Terry D. Nelson, Michael G. Dana.

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Hedge fund managers subject to SEC fraud charges *

USA - March 28 2013
Recently, the SEC filed a complaint in federal court in Connecticut charging a pair of hedge fund managers (Messrs. David Bryson and Bart Gutekunst)…

Co-authors: Terry D. Nelson, Michael G. Dana.

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SEC issues “alert” on the Custody Rule *

USA - March 28 2013
On March 4, 2013, the SEC released a risk alert in connection with Rule 206(4)-2, also known as the "Custody Rule," issued under the Investment…

Co-authors: Terry D. Nelson, Michael G. Dana.

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Recent newsworthy remarks by the SEC *

USA - March 28 2013
During recent public appearances, spokespersons for the SEC’s Division of Investment Management’s Risk and Examinations Group (REG) provided…

Co-authors: Terry D. Nelson, Michael G. Dana.

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Securities Exchange Act issues for exchange-traded funds *

USA - March 28 2013
Since shares of exchange traded funds (ETF Shares) are continuously offered and are also traded in secondary markets, various issues arise under the…

Co-authors: Terry D. Nelson, Michael G. Dana.

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