Investment Management Regulatory Update
Davis Polk
November 27, 2012
9 pages
In this Issue:
SEC Rules and Regulations
- SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients
Industry Update
- SEC Announces Presence Exams of Newly Registered Investment Advisers
- Additional Guidance Extends FATCA Deadlines and Expands the Scope of “Grandfathered” Obligations
- Investor Advisory Committee Submits Recommendations to the SEC on the SEC’s Proposal to Eliminate the General Solicitation Ban
- SEC Staff Issues Report on Authority to Enforce the Anti-Evasion Rule Under Section 12(g) of the Exchange Act
- NFA Waives Series 3 Proficiency Exam Requirement for Associated Persons of Certain Registered CPOs and CTAs
- Speech by SEC Chairman on New Technology Initiatives to Detect Suspicious Trading
Litigation
- SEC Charges Hedge Fund Adviser and Two Executives in Continuing Probe of Suspicious Fund Performance
![](/modules/mod_raxo_allmode/tools/tb.php?src=/images/stories/ProskauerLogo.gif&w=120&h=72&zc=1 "Proskauer: SEC and CFTC Adopt "Red Flag" Identity Theft Rules")
