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USA - October 17 2011
On July 26, 2011, the Securities and Exchange Commission (the “SEC”) adopted Rule 13h-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) to require large trader registration and reporting.
USA - August 2 2011
The Private Fund Investment Advisers Registration Act of 2010: The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), which was signed into law July 21, 2010, effects changes to the Investment Advisers Act of 1940 (the "Act") that change the bases on which non-U.S. advisers will be subject to regulation by U.S. regulators.
USA - July 15 2011
At an open meeting June 22, 2011 (the "June 22 Meeting"), the Securities and Exchange Commission (the "SEC" or "Commission") voted to adopt new rules and rule amendments under the Investment Advisers Act of 1940 (the "Advisers Act") that will
USA - February 10 2011
The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), which was signed into law July 21, 2010, effects changes to the Investment Advisers Act of 1940 (the "Act") that increase the chances that non-U.S. private fund advisers who manage funds with U.S. investors will be subject to regulation by U.S. regulators.
USA - February 8 2011
In MSRB Notice 2011-04 ("Notice 2011-04"), dated January 14, 2011, the Municipal Securities Rulemaking Board ("MSRB") proposed for comment:MSRB Rule G-42, a "pay to play" rule for municipal advisors ("Proposed MSRB Rule");Changes to MSRB Rule G-37, the existing MSRB "pay to play" rule for brokers, dealers and municipal securities dealers (collectively, "dealers"); andChanges to MSRB Rules G-8 and G-9, which relate to recordkeeping requirements.
