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Searching Content indexed under Charges, Mortgages, Indemnities by Peter Rosenblum ordered by Published Date Descending.
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Massachusetts Securities Division Adopts Regulations For Use Of Expert Network Services By Investment Advisers
On August 8, 2011, the Massachusetts Securities Division (the "Division") adopted regulations regarding the use of expert network services by investment advisers in Massachusetts (regardless of whether the adviser is registered with the Division or exempt from registration). Under new 950 CMR 12.205(9)(c)(16), investment advisers in Massachusetts will be required to obtain a written certification before engaging an expert network service (the "Expert Network Rule").
United States
14 Nov 2011
2
SEC Contemplates Extending Registration Deadlines For Investment Advisers
In a letter dated April 8, 2011 to the President of the North American Securities Administrators Association, Inc., Robert E. Plaze, Associate Director of the Securities and Exchange Commission ("SEC"), indicated that the SEC will consider extending the deadlines by which certain advisers must register with the SEC, or switch from SEC to state registration, under the new provisions of the Dodd-Frank Wall Street Reform and Consumer Protect Act (the "Dodd-Frank Act").
United States
15 Apr 2011
3
Investment Adviser Important Dates And Reminders
All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually.
United States
2 Feb 2011
4
SEC Proposes Rules Implementing New Investment Adviser Registration Provisions
On November 19, 2010, the Securities and Exchange Commission (the "SEC") issued two sets of proposed rules relating to the implementation of amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act"), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
30 Nov 2010
5
July, 21, 2010: Dodd-Frank Act Signed into Law & SEC Commissioners Approve Amendments to Form ADV, Part 2
Earlier today, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act").
United States
22 Jul 2010
6
SEC Adopts New Short Selling Rule
On February 23, 2009, the Securities and Exchange Commission (the "SEC") adopted a new short selling rule which places restrictions on the short selling of securities which experience a price decline of 10% or more in one day.
United States
2 Mar 2010
7
The President Proposes Broad Reform Of The Financial Regulatory System
On June 17, 2009, President Barack Obama released a series of proposed initiatives entitled Financial Regulatory Reform: A New Foundation (the “White Paper”), which, if implemented, would effect sweeping reforms to the U.S. financial regulatory system.
United States
24 Jun 2009
8
Federal Regulation Of Swap Agreements Proposed
On May 4, 2009, Senators Carl Levin, D-Michigan and Susan Collins, R-Maine introduced the Authorizing the Regulation of Swaps Act (the "Swaps Bill" or "Bill") which, if passed, would repeal a number of provisions of US law that currently bar the regulation of swap agreements.
United States
1 Jun 2009
9
SEC Proposes Amendments To Enhance Custody Rules For Investment Advisers
On May 14, 2009, the Securities and Exchange Commission ("SEC" or the "Commission") proposed rule amendments which are intended to substantially increase protections for investors who allow investment advisers to have custody over their assets.
United States
28 May 2009
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