March 4, 2016

Federal Jury Finds Traders Liable for Insider Trading in Test of SEC’s Post-Newman Strategy

Continue reading...

March 2, 2016

Seward & Kissel’s 2015 New Hedge Fund Study

Continue reading...

February 24, 2016

Compliance Reminder: Annual Obligation to Update Form ADV

Continue reading...

February 23, 2016

SEC Extends Comment Period With Respect to Proposed Revisions to Transfer Agent Rules

Continue reading...

February 10, 2016

SEC Seeks Comment on Proposed Revisions to Transfer Agent Rules

Continue reading...

January 25, 2016

New HSR Filing Thresholds (2016)

Continue reading...

January 22, 2016

Annual Regulatory Reminders (2016)

Continue reading...

January 12, 2016

OCIE Releases Its 2016 Examination Priorities

Continue reading...

December 31, 2015

Permanent Extension of Interest-Related Dividend and Short-Term Capital Gain Dividends Provisions Relating to Mutual Funds

Continue reading...

December 31, 2015

Key REIT and FIRPTA Provisions of the Protecting Americans from Tax Hikes Act of 2015

Continue reading...

December 29, 2015

SEC Proposes New Derivatives Rule for Registered Investment Companies

Continue reading...

December 11, 2015

New Exception to Annual Privacy Notice Requirement

Continue reading...

November 23, 2015

Major Changes to IRS Partnership Audit Procedures Requires Review of Fund Documents

Continue reading...

November 11, 2015

First Jury Conviction for Commodities Fraud and Spoofing

Continue reading...

November 5, 2015

IRS Releases Notices Regarding Tax Treatment of Certain Basket Option Contracts and Basket Contracts in Notices 2015-73 and 2015-74

Continue reading...

Menu