Category:Accounting and Finance
Table Of Contents
Summary and analysis of Dodd‐Frank rules for investment advisers: registration requirements, exemptions, family offices, performance fee eligibilityMarybeth Sorady, Daren Domina, Wendy Cohen, Fred Santo, Henry Bregstein, Meryl Wiener, Marilyn Okoshi, Jack P. Governale
This paper aims to explain the rules recently adopted by the Securities and Exchange Commission under the provisions of the Dodd‐Frank Wall Street Reform and Consumer…
The purpose of this paper is to provide a summary of recent Commodity Futures Trading Commission (CFTC) final rules prohibiting manipulation of commodity markets. The…
The purpose of this paper is to review significant questions raised by the US Supreme Court's June 13, 2011 decision in Janus Capital Group, Inc. v. First Derivative…
The purpose of this paper is to explain the SEC staff's web site responses to a series of frequently asked questions concerning SEC Advisers Act Rule 206(4)‐5.
The purpose of this article is to inform the various securities market participants about new Exchange Act Rule 13h‐1, its specifics and the requirements it may impose.
Recent regulatory actions focused on policies and procedures designed to safeguard material, non‐public informationJason Lane
The purpose of this paper is to review recent regulatory enforcement actions sanctioning firms for failure to safeguard material, non‐public information (MNPI).
Round two of FATCA Guidance: Notice 2011‐34: what's new and what remains on the wish list for non‐US investment fundsAdrienne M. Baker
The purpose of this paper is to highlight areas of particular interest to non‐US investment funds in the second installment of the US Treasury Department's written…
The purpose of this paper is to provide selected Financial Industry Regulatory Authority (FINRA) regulatory notices and disciplinary actions issued in July and August 2011.
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis