Article 23 Jul 2014 SEC Clarifies Certain Proxy Voting Responsibilities Of Investment Advisers And Availability Of Exemptions From Proxy Rules For Proxy Advisory Firms United States Commercial
Article 21 Jul 2014 The SEC Provides Guidance On Custody Rule Compliance For Private Fund SPVs And Escrow Accounts United States Finance
Article 17 Apr 2014 SEC Offers Guidance On Use Of Social Media Commentary By Investment Advisers United States Commercial
Article 30 Sep 2013 CFTC Grants CPOs No-Action Relief From Certain Reporting Obligations United States Finance
Article 11 Sep 2013 Federal Court Dismisses BlackRock Securities Lending Case United States Commercial
Article 27 Aug 2013 CFTC Harmonizes Compliance Obligations For Commodity Pool Operators Of Registered Investment Companies United States Finance
Article 07 Aug 2013 SEC Proposed Money Market Reform: An Analysis Of Fund Director Responsibilities United States Commercial
Article 07 Aug 2013 SEC Adopts JOBS Act Rules And Issues Additional Final And Proposed Rules Related To Regulation D Offerings United States Commercial
Article 26 Apr 2012 ICI and U.S. Chamber of Commerce Challenge Amended CFTC Rule 4.5 United States Finance
Article 12 Apr 2012 The JOBS Act And Its Potential Effect On Private Placements United States Commercial
Article 07 Mar 2012 CFTC Issues Final Rule Amending Registration And Compliance Obligations For Commodity Pool Operators And Commodity Trading Advisors United States Finance
Article 23 Feb 2012 SEC Requests Comments On FINRA’s Partial Amendment No. 1 To Proposed Rule 5123 Regarding Private Placement Of Securities United States Strategy
Article 16 Feb 2012 SEC Issues No-Action Letter Clarifying Position With Respect To Registration Requirements Of Special Purpose Vehicles And Affiliated Investment Advisers United States Finance
Article 13 Jan 2012 SEC Requests Comments On FINRA’s Second Amendment To Proposed Rules Regarding Communications With The Public United States Finance