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Searching Content indexed under Charges, Mortgages, Indemnities by Jeffrey Collins ordered by Published Date Descending.
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1
Massachusetts Securities Division Adopts New Investment Adviser Regulations
The Massachusetts Securities Division (the "Division") has adopted new regulations related to the registration of investment advisers.
United States
22 Feb 2012
2
Deadlines Loom For Advisers Required To Register Under Dodd-Frank Or Become An Exempt Reporting Adviser
Asset managers are reminded that The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") implemented a significant change in the approach taken under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), regarding the registration with the Securities and Exchange Commission (the "SEC") of advisers to unregistered funds.
United States
25 Jan 2012
3
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
4
SEC Adopts Rule For Large Trader Reporting
On July 26, 2011 the U.S. Securities and Exchange Commission (the "SEC") adopted Rule 13h-1, which implements registration and reporting requirements for large traders.
United States
22 Sep 2011
5
Reminder: Increased "Qualified Client" Dollar Amount Tests To Take Effect On September 19
On September 19, 2011, the Securities and Exchange Commission’s (the "SEC") increased dollar amount thresholds for "qualified clients" as defined under rule 205-3 of the Investment Advisers Act of 1940, as amended, will go into effect.
United States
19 Sep 2011
6
Massachusetts Securities Division Releases Report On Investment Advisers’ Use Of Social Media; New Regulations Anticipated
On July 6, 2011, the Securities Division of The Office of the Secretary of the Commonwealth (the "Securities Division") released a report on the results of a social media survey it previously sent to Massachusetts-registered investment advisers.
United States
19 Jul 2011
7
SEC Issues Order Approving Adjustment to "Qualified Client" Dollar Amount Tests
An investment adviser registered with the Securities and Exchange Commission may only charge a performance fee with respect to "qualified clients."
United States
19 Jul 2011
8
Upcoming Form ADV Part 2B Deadline
Investment Advisers registered with the US Securities and Exchange Commission (the "SEC") as of December 31, 2010, and that have fiscal years ending December 31, 2010 through April 30, 2011 must start delivering brochure supplements (Part 2B Form ADV) to new and prospective clients by July 31, 2011 and to existing clients by September 30, 2011.
United States
15 Jul 2011
9
SEC Adopts Final Dodd-Frank Registration Rules And Extends Deadline For Compliance
At an open meeting of the Securities and Exchange Commission (the "SEC") held earlier today, the SEC adopted final rules relating to the implementation of the changes to the registration requirements contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
24 Jun 2011
10
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
11
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
12
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
13
SEC Proposes Rule Relating to Implementation of Section 14A(d) of the Exchange Act
On October 18, 2010, the Securities and Exchange Commission (the SEC) issued proposed rule 14Ad-1, relating to new Section 14A(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
12 Nov 2010
14
Further Guidance On The Revised Accredited Investor Standard
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") sets forth, among other regulatory changes, a revised net worth test for a natural person to qualify as an "accredited investor" for purposes of Regulation D under the Securities Act of 1933, as amended (the primary private placement exemption relied on by investment advisers managing private investment funds).
United States
11 Aug 2010
15
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
16
Senate Passes Final Wall Street Reform Legislation (The Dodd-Frank Act)
On July 15, 2010, the U.S. Senate (the "Senate") voted 60-39 to approve the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Bill").
United States
21 Jul 2010
17
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
18
SEC Adopts Revised Custody Rule Enhancing Controls That Apply To Registered Investment Advisers
On December 16, 2009, the Securities and Exchange Commission (the "SEC" or "Commission") approved the adoption of amendments to Rule 206(4)-2 of the Investment Advisers Act of 1940 (the "Advisers Act"), which relates to custody of client assets.
United States
13 Jan 2010
19
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
20
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
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