Joseph P. Kelly II

Dechert LLP

Articles

Results 1 to 5 of 5


SEC division of investment management issues guidance on filing requirements for social media

USA - April 1 2013 The U.S. SEC's Division of Investment Management recently released a Guidance Update (the "Update")1 concerning the application of SEC filing…

FINRA announces implementation date for new rules governing communications with the public

USA - June 18 2012 The U.S. Financial Industry Regulatory Authority, Inc. (FINRA) on June 14, 2012 announced the implementation date for its new rules governing communications with the public.

Elliott R. Curzon

SEC approves new FINRA rules governing communications with the public

USA - May 3 2012 The U.S. Securities and Exchange Commission (SEC) on March 29, 2012 approved new Financial Industry Regulatory Authority, Inc. (FINRA) rules governing communications with the public.

Elliott R. Curzon

SEC publishes risk alert on investment adviser use of social media

USA - January 27 2012 The SEC’s Office of Compliance Inspections and Examinations on January 4, 2012 released a National Examination Risk Alert concerning the use of social media by registered investment advisers.

Keith Robinson

SEC proposes amendments to investment company advertising rules affecting marketing of target date funds

USA - July 13 2010 The Securities and Exchange Commission ("SEC") on June 16, 2010 proposed amendments to investment company advertising rules that would impact how target date funds are marketed.

Jeffrey S. Puretz