Investment Management and Securities Industry
Publications of Interest
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Presentation | Webcast
Marianne Yudes,
Thomas Hogan,
Daniel Kleinman
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
The Securities and Exchange Commission (the SEC) approved proposed guidance (the Proposed Guidance) on July 30 on the duties and responsibilities of investment company boards of directors for a fund adviser’s trading pr... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Marketing Material | Brochure
Investment Management & Securities Industry Group
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
The U.S. Department of Labor's (DOL) Employee Benefits Security Administration and the U.S. Securities and Exchange Commission (SEC) have entered into a Memorandum of Understanding (MOU) on July 28, setting for... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
On July 22, the Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections, and Examinations (OCIE) issued a ComplianceAlert, the second in a planned series of periodic updates that will sum... more
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
As had long been expected, Securities and Exchange Commission (SEC) staff confirmed a few days ago that the SEC's cash solicitation rule, Rule 206(4)-3 (the Rule) under the Investment Advisers Act of 1940 (the ... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice
The SEC has issued an emergency order to deter naked short selling in the publicly traded securities of 19 specific financial services firms, including Fannie Mae and Freddie Mac (a list of the issuers is set forth belo... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice
In the light of responses to its 2007 consultation paper on the disclosure of Contracts for Differences (CP07/20), the United Kingdom’s Financial Services Authority (FSA) has decided to implement a general disc... more
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
The Securities and Exchange Commission (SEC) has proposed a rule which, if adopted, is expected to require all insurance companies issuing equity index annuities (EIAs) to register them as securities under the Securitie... more
Outside Publications | Article
Thomas Harman,
Dianne Sulzbach
LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice
The Securities and Exchange Commission (SEC) recently proposed substantial amendments to Rule 15a-6 under the Securities Exchange Act of 1934 (Exchange Act), which provides conditional exemptions from broker-de... more
Presentation | Speech
Georgette Schaefer
Presentation | Webcast
Shauna Sappington,
Mark Matthews,
Steven Stone
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Presentation | Speech
Mark Fitterman,
Beth Kiesewetter,
Anne Flannery
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice