Legal Publications

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Alston + Bird: CFTC Adopts Final Amendments to Regulation 4.5

Posted Feb 27, 2012

Alston + Bird: CFTC Amends Registration and Compliance Obligations for CPOs and CTAs

Posted Feb 27, 2012

Lowenstein Sandler: Year-End Developments and Compliance Checklist

Posted Jan 13, 2012

Meridian Fund Advisers: New Accredited Investor Standard

Posted Jan 11, 2012

Lowenstein Sandler: Dodd-Frank Act Rulemaking - SEC and CFTC Release Joint Final Rules Relating to Form PF

Posted Nov 14, 2011

Lowenstein Sandler: Rule 13h-1 (the Large Trader Reporting Rule)

Posted Oct 20, 2011

Sidley: Proposed Regulations Implementing the Volcker Rule

Posted Oct 17, 2011

Lowenstein Sandler: New FINRA Rule 1230(b)(6) - Operations Professionals Must Register and Pass an Examination

Posted Jul 29, 2011

Lowenstein Sandler: FINRA RULE 5131 - Spinning and Market Orders Provisions Delayed to September 26, 2011

Posted Jun 2, 2011

Lowenstein Sandler: Dodd-Frank Rulemaking: SEC Proposes Revisions to "Qualified Client" Rule Under the Advisers Act

Posted May 19, 2011

Sidley: Registered Investment Adviser Annual Reviews; Calendar of Certain 2011 Significant Dates for Advisers

Posted Mar 1, 2011

Alston + Bird: CFTC Proposes Regulation Changes Eliminating Certain CPO and CTA Exemptions

Posted Feb 1, 2011

Lowenstein Sandler: Dodd-Frank Rulemaking - SEC Releases Proposed Rules Clarifying Certain Registration Exemptions and Planning forthe Transition of Mid-Sized Investment Advisers

Posted Jan 15, 2011

Lowenstein Sandler: SEC Release Proposed Rules Relating to Oversight of Investment Advisers

Posted Dec 5, 2010

Meridian Fund Advisers: SEC Proposes Regulations Implementing Dodd-Frank's Mandated Hedge Fund and Private Equity Fund Registration and Reporting Regime

Posted Dec 2, 2010

Lowenstein Sandler: A Primer on Investment Adviser Registration

Posted Oct 20, 2010

Proskauer Rose: Investment Advisers Act of 1940 - Overview for Hedge Fund Managers

Posted Aug 9, 2010

Proskauer Rose: Section 413 of Dodd-Frank Effective Upon Enactment - Requires Immediate Attention to Private Placement Disclosure and Subscription Documents

Posted Jul 23, 2010

Proskauer Rose: Changes Adopted to Form ADV Part II - the Investment Adviser "Brochure"

Posted Jul 23, 2010

Proskauer Rose: Private Equity and Hedge Fund Advisers Will Be Required to Register with the SEC Under House-Senate Compromise Legislation

Posted Jun 29, 2010

Alston + Bird: CFTC Issues Advisory Clarifying the Extent to which U.S. Investors May Trade in Foreign Security Futures Products

Posted Jun 21, 2010

Wolters Kluwer: Hedge Fund Regulatory Horizon - Highlights Second Quarter, 2010