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April 2, 2012
“JOBS” Act Passed to Remove Prohibition of General Solicitation and Marketing in Regulation D Offerings and Increase 500 Record Owner Threshold
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March 22, 2012
Additional Guidance on Registration Requirements for Entities Affiliated with Exempt Reporting Advisers
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March 19, 2012
FinCEN Seeks Comment on Customer Due Diligence Rule That Would Impose Requirement on Brokers to Submit Customer Information to Banks in Connection with Brokered Deposits
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March 8, 2012
Electronic K-1 Procedures
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March 1, 2012
Reporting Obligations for Exempt Reporting Advisers
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February 24, 2012
SEC Adopts Revised Performance Compensation Rule and Transition Rules
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February 21, 2012
2011 New Hedge Fund Study
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February 15, 2012
Sixth Circuit Decision Raises Question About Effectiveness of Broker-Dealer Liens on Customer Assets
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February 10, 2012
Foreign Account Tax Compliance Act (“FATCA”)
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February 9, 2012
CFTC Adopts Final Rules Regarding Exemptions from CPO and CTA Registration; Rescinds 4.13(a)(4) Exemption
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February 6, 2012
SEC Compliance Outreach Program for Investment Advisers and Investment Companies Subtitle
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February 3, 2012
Recordkeeping and Reporting of Swap Information
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February 3, 2012
TIC Form SHC Filing Deadline Approaching
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February 2, 2012
Proposed Regulations Will Impose U.S. Withholding Tax on “Dividend Equivalent” Payments Under Equity Swaps on U.S. Securities
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January 27, 2012
Annual Regulatory Reminders (2012)
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