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September 25, 2013
New Broker Dealer Financial Responsibility and Financial Reporting Rules
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September 17, 2013
Bad Actor Provisions Effective One Week From Today
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September 3, 2013
CFTC Issues Harmonization Rule for CPOs of Registered Investment Companies
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August 29, 2013
FATCA Update: IRS Opens Online Registration Portal; Negotiations Concluded on U.S.-Cayman Islands IGA
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August 23, 2013
Complying With the SEC’s New Bad Actor Provisions
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August 23, 2013
CFTC Issues CPO Recordkeeping and Disclosure Relief
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August 7, 2013
SEC Eliminates Prohibition Against General Solicitation and Advertising in Rule 506 and Rule 144A Offerings
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August 2, 2013
SEC Adopts Rules Disqualifying Certain Regulation D Offerings Involving Bad Actors
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July 26, 2013
CLO 2.0: How Can Hedge Fund Managers Navigate the Practical and Legal Challenges of Establishing and Managing Collateralized Loan Obligations?
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July 18, 2013
CFTC Issues Cross-Border Guidance
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July 17, 2013
SEC Steps Up Enforcement of Rule 105
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July 13, 2013
IRS Delays FATCA Implementation for Six Months
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July 11, 2013
SEC Lifts Ban on General Solicitation and General Advertising for Certain Private Placements
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July 11, 2013
SEC Approves Elimination of Ban on General Solicitation and Advertising for Certain Private Offerings; Adopts Rule 506 “Bad Actor” Disqualification and Proposes Amendments to Private Offering Rules
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July 8, 2013
AIFMD Implementation Deadline – July 22, 2013
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