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Browse Investment advisers topic

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1-100 out of 100 article(s)
Title Author Type Date Words
U.S. Senate Version Of Private Fund Investment Advisers Registration Act Of 2009 Contains Exemption For Advisers To "Private Equity Funds". Verbesey, Paul J.; Fries, Elizabeth Shea; Watson, David W.; Fore, Robert S.; Axelrad, Jonathan Nov 23, 2009 1865
A Compilation Of Enforcement And Non-Enforcement Actions - November 2009. Fetzer, Peter Nov 20, 2009 1729
Senator Dodd Proposes Private Fund Adviser Registration With Private Equity Exemption. Brunjes, John A.; Hoff, Cheri L.; Garver, Genna N. Nov 16, 2009 1180
Words Matter: Financial Advisors Need To Be Careful Using Form Engagement Letters. Nov 13, 2009 1245
House Financial Services Committee Approves The Private Fund Investment Advisers Registration Act. Collins, Jeffrey Law overview Nov 9, 2009 569
Private Fund Investment Advisers Registration Act Of 2009 Passes House Committee Vote. Nov 2, 2009 983
SEC Report Finds Agency Missed Numerous Opportunities To Uncover Madoff Fraud. Oct 23, 2009 526
SEC Joins State and Local Governments in Considering Regulation of Investment Adviser Activities Related to Government Plans. Oct 16, 2009 3349
SEC Proposes Amendments To The Investment Advisers Act Custody Rule. Martino, Ralph De Law overview Oct 4, 2009 1183
The Exchange Traded Funds In Brazil. Stuber, Walter Sep 30, 2009 2085
The SEC Proposes New Rules To Restrict "Pay To Play" Practices By Investment Advisers. Sep 18, 2009 1631
A Compilation Of Enforcement And Non-Enforcement Actions - August 2009. Fetzer, Peter Law overview Sep 1, 2009 1098
SEC Proposes To Eliminate Perceived "Pay-To-Play" Practices By Investment Advisers And Private Fund Managers. Kennedy, Robert Law overview Sep 1, 2009 1520
Proposed SEC Rule Would Curtail Use Of Placement Agents And Campaign Contributions By Investment Advisers To Private Investment Funds. Aug 28, 2009 1832
SEC's Proposed "Pay-To-Play" Restrictions Will Affect Private Equity Funds. Romagnoli, Joseph Aug 13, 2009 886
Obama Administration Proposes Investment Adviser Legislation To U.S. Congress. Aug 11, 2009 2948
Ponzi Scheme Detection: How The SEC Can Catch The Next Thief. Kramer, Marcia Aug 6, 2009 4239
SEC Proposes Rules To Eliminate "Pay-To-Play" Practices. Reprint Aug 4, 2009 451
Obama Administration Proposes Registration Of Most Private Fund Advisers. Jul 28, 2009 808
President Obama's Administration Proposes The "Private Fund Investment Advisers Registration Act Of 2009". Jul 22, 2009 773
Administration bill would require managers of hedge and other private funds to register as investment advisers. Santo, Fred; Okoshi, Marilyn Selby; Bregstein, Henry; Wiener, Meryl; Sorady, Marybeth; Domina, Daren Jul 20, 2009 891
Important Developments On Disclosure Requirements For Financial Advisers. Jul 6, 2009 883
White House Proposal Calls For Increased Regulation Of Private Investment Funds In Broad Attempt To Restore Confidence In Integrity Of Financial System. Jul 1, 2009 987
SEC Proposes Amendments To Investment Adviser Custody Rules. Jun 30, 2009 1813
Ready Or Not? Widespread Regulation Of Hedge Funds And Other Private Pools Of Capital Could Be Coming. Jun 25, 2009 1445
The President Proposes Broad Reform Of The Financial Regulatory System. Jun 24, 2009 888
Financial Services Update - Important Developments On The Regulation And Supervision Of Financial Advisers. Brown, Sue Jun 19, 2009 444
Sweeping Pension System Reforms Adopted in Illinois; Bans on Pension System Placement Agents and Lobbyists in New York. Janicik, John May 1, 2009 669
New House Bill Would Require Registration Of Almost All Investment Advisers. Mar 3, 2009 1532
SEC seeks e-records for investment advisers. Brief article Mar 1, 2009 245
Investment Adviser Important Dates and Reminders. Haviland, Meredith Feb 19, 2009 972
Illinois Circuit Court Reinforces Seventh Circuit's Limitation On Financial Advisors' Liability Under Fairness Opinions. Rothschild, Jeffrey Case overview Feb 16, 2009 1465
Regulating private funds and their investment advisers: a summary of recently proposed legislation. Muller, Kenneth Feb 11, 2009 1610
Responding To Riskmetrics' Updated Corporate Governance Voting Guidelines For The 2009 Proxy Season. Cifrino, David Feb 6, 2009 2356
Castle And Capuano Propose Hedge Fund Regulation Package. Brunjes, John Law overview Feb 5, 2009 1440
A Look At Riskmetrics Group's Policy Update For The 2009 Proxy Season. Gelfond, Stuart Law overview Feb 4, 2009 3297
Proposed Regulation Of Asset Managers And Best Practices For Hedge Funds Released - Canadian And U.S. Implications. Feb 4, 2009 1210
Regulation Of Financial Advisers. Dec 19, 2008 1421
Regulation Of Financial Service Providers. Dec 19, 2008 781
Fairness Opinions In The SPAC Context. Gardner, Laura Dec 17, 2008 1778
FERC Clarifies Requirement For Advance Approval Of Public Utility Company Stock Acquisition By Investment Advisers. Adelfio, Marco Dec 4, 2008 744
Regulation Of Insurance Brokers In New Zealand. Gates, Crossley Nov 25, 2008 1096
New investment-related rules announced. Nov 24, 2008 1267
FinCEN Withdraws Proposed AML Program Rulemaking For Investment Advisers, Commodity Trading Advisers And Unregistered Investment Companies. Nov 5, 2008 2054
NZ Funds Management Update - New Rules For Financial Advisers. Sep 29, 2008 1357
SEC Proposes Amendments To The Investment Company Act To Reduce Reliance On Credit Ratings. Sep 18, 2008 1883
SEC Proposal Outlines Duties Of Mutual Fund Boards in Monitoring Best Execution. Domina, Daren Sep 8, 2008 848
A practical guide to the tax issues of investing in master limited partnerships. Magana, Adam; Bucurel, Andrea Aug 1, 2008 2299
Kohl Bill targets questionable senior designations. Lehmann, R.J. Brief article May 1, 2008 156
Investment Adviser Regulation In New York: Nine Questions For Analyzing Federal And State Regulatory Burdens. Law overview Apr 18, 2008 3141
Form ADV Part 2 Proposal. Apr 10, 2008 2275
Investment Management Update: Recent Regulatory Issues Affecting Adviser And Dealer Firms. Mar 31, 2008 3391
U.S. Securities And Exchange Commission Proposes To Expand Privacy Obligations For Regulated Entities. Mar 27, 2008 789
FRB Issues Opinion Letter to Investment Adviser Seeking To Have Affiliated Funds Invest in up to 15% of Voting Stock of Banking Organization. Mar 20, 2008 1373
A Compilation of Enforcement and Non-Enforcement Actions. Feb 17, 2008 2839
Registrant Regulation and Compliance Alert - Recent Compliance Issues. Feb 15, 2008 532
SEC Re-proposes Changes To Form ADV Part II. Feb 14, 2008 633
Interpreting SEC schedules 13D and 13G for Sec. 382 purposes. Fairbanks, Greg A. Feb 1, 2008 1770
Cross-Border Concerns In Offering Services As An Investment Adviser In The United States: 10 Questions To Help Foreign Financial Advisors Analyze The Impact Of U.S. Investment Adviser Laws. Jan 30, 2008 3179
President Bush Issues Amendment to Executive Order Regarding National Security Reviews of Foreign Acquisitions of Control of U.S. Businesses. Jan 30, 2008 3120
Prudent investment practices: CPAs who provide investment advice to their clients will be held to a fiduciary's civil standard of conduct. Thus, it is prudent to know and understand best practices for fiduciaries. Blackman, Clark M., II Jan 1, 2008 568
California To Require Pooled Investment Vehicle Managers To Register As Investment Advisers And Also Proposes Changes In Its Books And Records Rules And Reporting Requirements For Broker-Dealers And Investment Advisers. Oct 23, 2007 3155
New SEC Anti-Fraud Rule Impacts Hedge Funds, Private Equity Funds, Other Pooled Investment Vehicles. Matasar, Scott Oct 17, 2007 823
SEC Adopts Temporary Rule Regarding Adviser Principal Trades And Other Interpretive Guidance Regarding Broker-Dealer Adviser Activities. Oct 1, 2007 1309
FRB and SEC Issue Final Version of Regulation R. Sep 26, 2007 3555
SEC Adopts New Antifraud Rule For Investment Advisers to Pooled Investment Vehicles. Aug 17, 2007 1062
SEC Affirms Its Enforcement Authority With New Anti-Fraud Rule Under the Advisers Act. Aug 10, 2007 1518
Securities And Banking Update - Weighing Up The Options. Jun 12, 2007 941
Securities And Banking Update - Capital ideas. Jun 12, 2007 643
Investment Management Regulatory Update. Forbes, Jessica Apr 18, 2007 1483
Federal Court of Appeals for the D.C. Circuit Vacates SEC Rule Addressing Advisers Act Exception for Broker-Dealers. Apr 11, 2007 2772
OTS Proposes Expanding Permissible Activities Of Savings And Loan Holding Companies. Apr 4, 2007 2449
New Rules For AIM Companies And Nomads - 20 February 2007. Smith, Peter Feb 27, 2007 4586
SEC Proposes New Anti-Fraud Rule And Changes To The Definition of "Accredited Investor" For Private Investment Vehicles. Jan 26, 2007 2204
SEC Proposes New Anti-Fraud Rules For Private Funds. Jan 24, 2007 1929
SEC Issues Proposed Rules Affecting Hedge Funds And Other Pooled Investment Vehicles. Holton, Thomas John Jan 18, 2007 3302
SEC Proposed Rulemaking On Prohibition Of Fraud By Advisor S An D Revised Standards For Accredited Investors. Jan 17, 2007 1552
For Investment Management Clients And To Other Interested Parties Conflicts Unavoidable For Investment Advisers. Nov 6, 2006 3125
Rescission Of Rules Of The Securities & Exchange Board Of India. Brief article Nov 2, 2006 297
Congress Passes Financial Services Regulatory Relief Act of 2006. Oct 3, 2006 3640
SEC Provides Interpretive Guidance for Hedge Fund Advisers in Light of Goldstein Decision; Additional Regulation Possible. Aug 24, 2006 3108
Performance and Advertising - A Practical Guide for Hedge Funds in the Post Registration Era. Gould, Jay Aug 14, 2006 1768
Legal Alert: ALI-ABA's SEC/NASD Compliance Conference. Jul 16, 2006 5225
Tax advice or investment advice: where is the line? Fohn, Dick Jul 1, 2006 2566
U.S. Court of Appeals Vacates Hedge Fund Adviser Registration Rule but Withholds Mandate. Jun 28, 2006 2656
Hedge Fund Adviser Registration Rule Remains in Effect ... For Now. Jun 28, 2006 312
Corporate and Financial Services Regulation Review. May 19, 2006 2316
When is a Broker-Dealer an Investment Adviser. Mar 9, 2006 766
SEC Audits and Examinations of Investment Advisors. Mar 8, 2006 2196
SEC Audits and Examinations of Investment Advisors. Mar 6, 2006 2203
Private Fund Adviser Registration Rules Now Effective; SEC Issues Interpretations. Fries, Elizabeth Shea; King, Rufus C.; LeClaire, John R.; Steingarten, Derek N.; Watson, David W. Feb 9, 2006 1467
SEC Issues Interpretations of Private Fund Adviser Registration Rules (Hedge Fund Alert). Jan 30, 2006 3051
Review of SEC's Semi-Annual Regulatory Agenda. Jan 25, 2006 2710
Certain Broker-Dealer Activity Deemed Not to Be Investment Advisory Services. Jan 19, 2006 887
How to prevent investment adviser fraud. Carroll, Brian Jan 1, 2006 2601
FRB Amends Reg. CC to Shift Liability to Depositary Bank for "Remotely Created Checks". Nov 30, 2005 1850
New Rules May Require Some Investment Advisers to Register With The SEC for the First Time. Oct 14, 2005 1000
NYSE Files Change of Interpretive Position on Discretionary Voting with Respect to Fund Advisory Contract Proposals. Sep 27, 2005 2002
SEC to Consider Proposal Regarding Status under the Advisers Act of Broker-Dealers That Provide Advisory Services. Apr 6, 2005 1602
Hedge fund investing: current advice for financial advisers and planners. Cho, Charles H. Feb 1, 2005 3901

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