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Searching Content indexed under Charges, Mortgages, Indemnities by Robert Sawyer ordered by Published Date Descending.
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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
SEC Amends Pay-To-Play Rule
On June 22, 2011, the Securities and Exchange Commission ("SEC") released amendments to Rule 206(4)-5 (the "Rule") under the Investment Advisers Act of 1940 (the "Advisers Act"), which places restrictions on political contributions by an investment advisor or its covered associates, and prohibits the engagement by an investment advisor of unregulated third party solicitors to solicit government entity clients on its behalf.
United States
6 Jul 2011
3
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
4
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
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