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House may hold hearings on a possible adviser SRO

Sutherland Asbill & Brennan LLP
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USA
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September 4 2009

It has been reported that the U.S. House Financial Services Committee may hold a hearing in October 2009 on whether the investment adviser industry should have a self-regulatory organization (SRO

SEI money market fund obtains no-action relief to enter into an arrangement addressing sub-prime problems (MF)

Sutherland Asbill & Brennan LLP
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USA
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November 9 2007

SEI Daily Income Trust Money Market Fund (the "Fund") and SEI Investments Company ("SEI") received no-action relief from the SEC to enter into arrangement addressing certain non or underperforming portfolio assets consisting of interests in pools containing sub-prime mortgages

Sutherland annual study finds that it sometimes pays to litigate against FINRA (formerly NASD)

Sutherland Asbill & Brennan LLP
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USA
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May 13 2008

Sutherland Asbill & Brennan LLP announced that it has completed its fourth annual analysis of litigated disciplinary proceedings brought by the Financial Industry Regulatory Authority (FINRA, formerly NASD) against broker-dealer firms and registered representatives

New York Federal Reserve Bank releases guidelines for foreign exchange trading activities

Sutherland Asbill & Brennan LLP
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USA
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May 23 2008

In the wake of the losses at Société Générale SA, the Foreign Exchange Committee of the New York Federal Reserve Bank (the “Committee”) is seeking to educate market participants on effective foreign exchange trading practices through its revised Guidelines for Foreign Exchange Trading Activities

Treasury Blueprint for regulatory reform

Sutherland Asbill & Brennan LLP
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USA
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June 12 2008

There has been a mixed response to the Treasury’s proposal

Florida district court dismisses federal securities complaint, ruling allegations inadequate to establish primary liability against securities firms

Sutherland Asbill & Brennan LLP
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USA
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December 12 2007

The United States District Court for the Southern District of Florida last week dismissed with prejudice a federal securities class action complaint against Merrill Lynch & Co., Inc., (“Merrill Lynch”) and other investment banks due to the plaintiffs’ failure to plead adequately any element of securities fraud

SEC to hold valuation roundtable

Sutherland Asbill & Brennan LLP
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USA
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July 9 2008

The SEC will hold a valuation roundtable on July 9, 2008

House releases schedule for financial regulatory reform

Sutherland Asbill & Brennan LLP
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USA
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July 6 2009

House Financial Services Committee Chairman Barney Frank (D-MA) announced the committee’s tentative schedule for the consideration of the Obama Administration’s plan for sweeping financial regulatory reform

White House proposes significant and comprehensive regulatory reform (HF, IA & MF)

Sutherland Asbill & Brennan LLP
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USA
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July 6 2009

The Obama Administration introduced a white paper, Financial Regulatory Reform A New Foundation: Rebuilding Financial Supervision and Regulation (the White Paper), proposing significant and comprehensive regulatory reform in response to what the White Paper calls the “most severe financial crisis since the Great Depression.”

Senate Banking Committee Chairman unveils draft financial reform package

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

Senate Banking Committee Chairman Chris Dodd (D-CT), joined by fellow committee members, announced a bill to reform the way that the U.S. financial system is regulated, which is called “Restoring American Financial Stability Act of 2009.”

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