11/11/2009 2:07:03 PM EST
Regulation S-AM is designed to prevent registered investment advisers, investment companies, broker-dealers and registered transfer agents ("Covered Persons") from using cert ... Create an account or login to post comments. | Comments (0)
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11/10/2009 9:55:43 AM EST
Proposed legislation would require managers of private investment funds to register with the SEC as investment advisers under the Investment Advisers Act. Currently, most private fund ... Create an account or login to post comments. | Comments (0)
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11/4/2009 2:13:12 PM EST
Mary Schapiro, Chairman of the SEC, and Robert Khuzami, Director of the SEC Enforcement Division, have taken a number of steps to revamp the SEC's enforcement division. In this Analysi ... Create an account or login to post comments. | Comments (0)
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10/20/2009 11:20:46 AM EST Posted by Marie E. PicardVice President and Counsel, ING Investment Management
Designed to further regulatory reform, the Private Fund Investment Advisers Registration Act of 2009 (Proposed Act) would expand the pool of investment advisers required to register wi ... Create an account or login to post comments. | Comments (0)
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6/1/2009 9:35:41 AM EST
Recent pronouncements from the New York Insurance Department and the Missouri Insurance Department have concluded that some credit derivatives are "insurance" and are to be r ... Create an account or login to post comments. | Comments (0)
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2/6/2009 9:27:36 AM EST
The adoption of a unified set of rules has been the eagerly awaited product of the merger of National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) regulat ... Create an account or login to post comments. | Comments (0)
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3/3/2009 11:58:49 AM EST
The adoption of a unified set of rules has been the eagerly awaited product of the merger of National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) regulat ... Create an account or login to post comments. | Comments (0)
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3/23/2009 11:22:47 AM EST
While 2008 was a difficult year for many real estate investment trusts (REITs), there were a number of positive developments. In this Commentary, Phillip J. Kardis II, Thomas J. Lyden, ... Create an account or login to post comments. | Comments (0)
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4/27/2009 8:02:10 AM EST
This backgrounder briefly describes the U.S. Treasury Department's latest plan for dealing with the banking and financial crisis, the Public-Private Investment Program. It states in par ... Create an account or login to post comments. | Comments (0)
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4/20/2009 11:11:19 AM EST
In January 2009, the Federal Reserve Board, the OTS (Office of Thrift Supervision), and the NCUA (National Credit Union Administration) adopted the Consumer Credit Card Account Practice ... Create an account or login to post comments. | Comments (0)
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10/21/2008 2:13:54 PM EST
In In re Petitions of Qwest Corp. for Forbearance , 2008 FCC LEXIS 5585 (July 25, 2008), the Federal Communications Commission (FCC or Commission) rejected Qwest’s petition ... Create an account or login to post comments. | Comments (0)
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5/7/2008 3:17:23 PM EST
The "Blueprint" released by Treasury Secretary Henry M. Paulson on March 31, 2008, would add to, subtract from, and condense and reconstitute the entities presently charged w ... Create an account or login to post comments. | Comments (0)
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4/24/2008 9:35:17 AM EST
Financial and corporate crises bring regulation; the bigger the crisis, the more the regulation. A few years ago, major corporations, particularly Enron and WorldCom, were engulfed in ... Create an account or login to post comments. | Comments (0)
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