February 15, 2012

Sixth Circuit Decision Raises Question About Effectiveness of Broker-Dealer Liens on Customer Assets

Continue reading...

February 10, 2012

Foreign Account Tax Compliance Act (“FATCA”)

Continue reading...

February 9, 2012

CFTC Adopts Final Rules Regarding Exemptions from CPO and CTA Registration; Rescinds 4.13(a)(4) Exemption

Continue reading...

February 6, 2012

SEC Compliance Outreach Program for Investment Advisers and Investment Companies Subtitle

Continue reading...

February 3, 2012

Recordkeeping and Reporting of Swap Information

Continue reading...

February 3, 2012

TIC Form SHC Filing Deadline Approaching

Continue reading...

February 2, 2012

Proposed Regulations Will Impose U.S. Withholding Tax on “Dividend Equivalent” Payments Under Equity Swaps on U.S. Securities

Continue reading...

January 27, 2012

Annual Regulatory Reminders (2012)

Continue reading...

January 26, 2012

New HSR Filing Thresholds (2012)

Continue reading...

January 26, 2012

U.S. Department of Labor Form 5500 Schedule C Reporting

Continue reading...

January 26, 2012

Reporting Obligations for Exempt Reporting Advisers

Continue reading...

January 25, 2012

Internal Revenue Service Announces the Third Installment of Its Offshore Voluntary Disclosure Program

Continue reading...

January 24, 2012

Private Funds Bullet Report – January 2012

Continue reading...

January 23, 2012

SEC Clarifies Scope of Registration Requirements for Entities Affiliated with an Investment Adviser Registering with the SEC

Continue reading...

January 20, 2012

Liability Exposures of Aircraft Owners, Lessors and Financiers

Continue reading...

Menu