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16 Aug 2010, 9:15 am
Record, July 15, 2010, S5899). [read post]
13 Aug 2010, 3:56 pm
Record, July 15, 2010, p. [read post]
13 Aug 2010, 9:21 am
Advisers who are required to register will have about a year to do so -- until July 21, 2011. [read post]
12 Aug 2010, 7:56 am
In the 10-Q that Knight filed August 9, there was a “Separation from Employment” letter, dated July 30, 2010, that it sent to Katcher, whose employment ended the next day. [read post]
11 Aug 2010, 4:01 pm
Record, July 15, 2010, S5898)For example, banks are prohibited from bailing out funds they manage, sponsor, or advise, as well as funds in which those funds invest. [read post]
10 Aug 2010, 4:18 pm
Record, July 15, 2010, pp. [read post]
10 Aug 2010, 12:33 pm
Listing authorities must define these independent factors by July 2011. [read post]
9 Aug 2010, 7:52 am
On July 2, 1942, less than a week after the close of arguments, Judge St. [read post]
7 Aug 2010, 1:07 pm
Record, July 15, 2010, pp. [read post]
2 Aug 2010, 2:12 pm
On July 28, bankruptcy trustee Irving H. [read post]
2 Aug 2010, 12:12 pm
On July 28, bankruptcy trustee Irving H. [read post]
2 Aug 2010, 2:08 am
Important changes include: Manager Registration – Managers to hedge funds and private equity funds will generally be required to register with the SEC by July 21, 2011 if they have $150 million or more in AUM. [read post]
1 Aug 2010, 11:21 am
In July 2009, the SEC provided legislative proposals that staff believed would allow the Commission to better protect investors. [read post]
30 Jul 2010, 10:44 am
[July 23, 2010] **** Other related hedge fund law articles: Regulation D Overview Hedge Fund Offering Documents How to Start a Hedge Fund Mallon P.C. provides legal support and hedge fund registration services to all types of investment managers. [read post]
28 Jul 2010, 3:48 pm
In fact, Wall Street brokerage firms are being ordered to pay millions to investors who incurred significant losses on what they thought were low-risk investments, but were, in fact, leveraged municipal arbitrage hedge funds, according to a Wall Street Journal article by Randall Smith (“Crisis-Era Munis Haunt Wall Street,” July 27, 2010). [read post]
28 Jul 2010, 11:14 am
German legislation that took effect July 27, 2010 prohibits naked short-selling transactions in shares and certain debt securities as well as naked credit derivatives. [read post]
28 Jul 2010, 9:18 am
The provisions take effect July 16, 2011 or not less than 60 days after publication of a final rule. [read post]
27 Jul 2010, 3:14 pm
Wall Street brokerage firms are being ordered to pay millions to investors who incurred significant losses on what they thought were low-risk investments, but were, in fact, leveraged municipal arbitrage hedge funds, according to a Wall Street Journal article by Randall Smith (“Crisis-Era Munis Haunt Wall Street,” July 27, 2010). [read post]
27 Jul 2010, 9:50 am
For your reference, here's a look at some of it:Dodd-Frank Act: A JD Supra Finance Law Brief Securities Industry Practice Alert - The Dodd-Frank Wall Street Reform and Consumer Protection Act [Fox Rothschild] The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) was signed into law by President Obama on July 21, 2010. [read post]
27 Jul 2010, 6:00 am
The House of Representatives approved the bill on June 30, 2010, the Senate approved it on July 15, 2010, and it became law when President Obama signed it on July 21, 2010. [read post]
