January 31, 2011

SEC Begins to Release Monthly Shadow Pricing Information About Money Market Funds

Money market funds’ shadow pricing information is now available on the SEC’s web site.

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January 27, 2011

ICI Files Comment Letter on Proposed Changes to Form ADV and Amendments to Pay-to-Play Rule

The Investment Company Institute (the “ICI”) filed a comment letter addressing the SEC’s proposed changes to Form ADV and amendments to the pay-to-play rules.

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January 27, 2011

SEC Publishes Study on Access to Information About Investment Professionals

The SEC has published a staff study (the “study”) recommending steps to help investors better access information about investment professionals.

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January 27, 2011

Askari Foy Named Associate Regional Director for Examinations in SEC Atlanta Regional Office

The SEC announced the promotion of Askari Foy to Associate Regional Director for Examinations in the its Atlanta Regional Office.

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January 27, 2011

SEC to Combine Broker-Dealer and Investment Adviser Search Feature on its Web Site

In a study, the SEC recommended that the FINRA's BrokerCheck website and the Investment Adviser Public Disclosure (“IAPD”) website be modified so that investors can simultaneously search both databases and receive unified search results.

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January 25, 2011

SEC Answers Questions About Information Filed on Form N-MFP

The SEC staff posted a series of questions and answers on the availability of information filed by money market funds on Form N-MFP.

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January 21, 2011

MSRB Proposes New Pay-to-Play Rule for Municipal Advisors

The Municipal Securities Rulemaking Board (“MSRB”) proposed pay-to-play rules for municipal advisors (“Rule G-42” or the “proposal”) and to make conforming changes to existing MSRB rules.

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January 21, 2011

Judge Allows DoubleLine Capital to Operate Pending Trial

The judge presiding over the legal battle between L.A. money managers TCW Group Inc. and DoubleLine Capital has thrown out TCW’s attempt to effectively shut down DoubleLine’s mutual funds pending a trial.

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January 20, 2011

SEC Names Sokobin Acting Director of the Division of Risk, Strategy and Financial Innovation

Jonathan S. Sokobin was appointed Acting Director of the SEC's Division of Risk, Strategy, and Financial Innovation (the “Division”).  He replaces Henry T.C. Hu, who is no longer with the agency.

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January 18, 2011

Eileen Rominger Appointed New Director of SEC’s Division of Investment Management

The SEC appointed Eileen Rominger as the new Director of its Division of Investment Management.  She starts with the SEC next month.

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