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You are here: SEC & Securities Law Registered Investment Funds Morrison Foerster: Investment Management Legal and Regulatory Update: February 2013

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MoFoLogoInvestment Management Legal and Regulatory Update: February 2013

Morrison Foerster
February 20, 2013
6 pages

In this issue:

  • FINRA overhaul of communications rules becomes effective
  • ICI and CoC appeal Rule 4.5 ruling
  • Enforcement Division priorities target hedge funds
  • Independent directors respond to SEC allegations in fair valuation case
  • It’s not dead yet: the SEC fights another market timing battle
  • SEC settles with closed-end fund over improper stock repurchase
  • Court orders hedge fund to disgorge funds in connection with deceptive returns

Registered Funds & Broker-Dealers

Ropes & Gray: SEC Issues IM Guidance Update on Compliance with Exemptive Orders

May 22, 2013 SEC Enforcement Actions

Bingham: FINRA Issues New Guidance for Broker-Dealer Communications Regarding Real Estate Investments

May 21, 2013 FINRA & The Exchanges

Morgan Lewis: SEC Warns About Exemptive Order Compliance

May 17, 2013 SEC Enforcement Actions