SEC Accuses Fund Directors of Breaching Their Valuation Duties
Morrison Foerster
January 2, 2013
4 pages
Wednesday, May 22nd
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SEC & Securities Law 
Enforcement Morrison Foerster: SEC Accuses Fund Directors of Breaching Their Valuation Duties
Enforcement Morrison Foerster: SEC Accuses Fund Directors of Breaching Their Valuation Duties
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- SEC Settlement Warns Against Use of Unregistered Brokers as Finders
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- In re Puda Coal: Delaware Court Allows Loyalty Claims Against Directors of Chinese Company
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- Investment Funds & Broker Dealers
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- Registered Investment Funds
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- SEC Report on Broker-Dealer Information Barriers
- Newly-Registered Investment Advisers to Get SEC "Presence Exams"
- SEC Proposes Consolidated Audit Trail For Equity Securities
- SEC Provides Relief from Registration for Certain Adviser Affiliates
- SEC Guidance on Investment Adviser Use of Social Media
- SEC Adopts Large Trader Reporting System
- SEC Proposes Custody-Related Reporting and Audit Requirements for Broker-Dealers
- SEC Order Adjusts "Qualified Client" Threshold for Inflation
- SEC Disqualifies Felons & "Bad Actors" From Rule 506 Offerings
- SEC Amends ADV Part 2 ("The Brochure")
- SEC Increases Investment Advisers Act "Qualified Client" Thresholds for Performance Fees
- Investment Advisers: Annual Regulatory/Compliance Obligations
- Treasury's Form SLT Will Require Reporting of Cross-Border Security Ownership
- SEC Enacts "Pay to Play" Prohibitions for Investment Advisers
- SEC Requires Institutional Investment Managers To Report on Executive Compensation Voting
- SEC Adopts Changes to Custody Rules For Investment Advisers
- SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
- Regulation SHO: SEC Adopts Alternative Uptick Rule For Short-Sales
- SEC Proposal to Effectively Prohibit "Unfiltered" Market Access
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- SEC Guidance on Investment Adviser Advertising
- Mandated Electronic Filing of Form Ds
- SEC Proposes To Ban "Flash" Orders
- Regulation S-AM & Affiliate Marketing
- SEC Adopts Short Selling Rules Aimed at Reducing Fails To Deliver
- SEC Proposes Rules For "Dark Pools"
- SEC Concept Release on Equity Market Structure (eg High Frequency Trading)
- FINRA & the Exchanges
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- FINRA Guidance on Complex Products
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- NYSE Restricts Broker Discretionary Voting on CorpGov Issues
- FINRA's Proposed Rule 5123: Enhanced Disclosure For Private Placements
- FINRA's Rule 5131 and Potentially Abusive IPO Practices
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- NYSE Ends Broker Discretionary Voting for Directors
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