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Results: 1-10 of 291

SEC brings action against independent fund trustees and provides gloss on section 15(C) process

  • Jorden Burt LLP
  • -
  • USA
  • -
  • May 9 2013

May 9, 2013 -- The SEC has settled a noteworthy enforcement action against mutual fund trustees -- including independent trustees -- and service

New York AG lacks standing to object to proposed settlement in AIG Securities Litigation

  • Jorden Burt LLP
  • -
  • USA
  • -
  • March 28 2013

In a case that has been litigated since 2004, and on which we have frequently reported, the New York Attorney General ("NYAG") has attempted to block

SEC seeks costbenefit data relating to standards of conduct for broker-dealers and investment advisers

  • Jorden Burt LLP
  • -
  • USA
  • -
  • March 6 2013

On March 1, 2013, the SEC released a 72-page request (available here) for costbenefit data and other information relating to different standards of

Duty of care to turn on consumers’ “reasonable expectations”

  • Jorden Burt LLP
  • -
  • USA
  • -
  • February 15 2013

2013 will see changes to the duty of care owed by those who provide financial or investment advice or provide financial products to consumers. It

FINRA debuts new dispute resolution forum

  • Jorden Burt LLP
  • -
  • USA
  • -
  • February 15 2013

FINRA recently announced that its dispute resolution forum is now available for disputes between registered investment advisers that are not member

OCIE advises firms on misuse of non-public information

  • Jorden Burt LLP
  • -
  • USA
  • -
  • February 15 2013

The SEC's Office of Compliance Inspections and Examinations issued a report describing practices to help broker-dealers and investment advisers

Harkin or harken for index products

  • Jorden Burt LLP
  • -
  • USA
  • -
  • February 15 2013

A threshold question in developing and designing an index insurance product is whether or not it will be registered with the SEC under the Securities

SEC avoids confronting major periodic reporting issuesfor now

  • Jorden Burt LLP
  • -
  • USA
  • -
  • February 15 2013

The SEC has declined an opportunity to discuss its views or any plans to consider whether its current definition of a "record" security holder allows

FINRA to firms: file communications to existing customers

  • Jorden Burt LLP
  • -
  • USA
  • -
  • February 15 2013

When FINRA's new rules governing communications with the public go into effect on February 4, 2013, firms may need an associated increase in their

Perfect storm for money market funds

  • Jorden Burt LLP
  • -
  • USA
  • -
  • February 15 2013

The potentially life-threatening regulatory maelstrom in which money market funds (MMFs) now find themselves picked up force in November last year

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