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New Rules, Proposed Rules and Guidance

  • SEC Proposal Regarding Mutual Fund Distribution Fees
  • SEC Adopts Amendments to Part 2 of Form ADV
  • SEC Adopts New Rule to Curtail Adviser “Pay to Play” Practices
  • NFA Proposes Amendment to Restrict Exclusions from the Commodity Pool Operator Definition for Investment Companies
  • SEC Proposes Amendments Regarding Target Date Fund Marketing Materials
  • Implementation of Identity Theft Prevention Programs Further Delayed Until December 31, 2010


  • Dodd-Frank Wall Street Reform and Consumer Protection Act Enacted
  • Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 Enacted


  • Funds Face Lawsuits Over Payments to Distributors; California Court Dismisses First Case

Other News

  • New California Account Opening Disclosure Requirement
  • SEC Supports Sarbanes-Oxley Whistleblower Provisions for Adviser Employees
  • Closed-End Fund Loses Battle to Omit Shareholder Proposal in Proxy Statement

Enforcement Actions

  • Fund Portfolio Manager Charged with Tipping Family Members

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