Investment Management Issues

"Final Form PF Rules," October 2011

GlobalNote: "New Regulatory Provisions in the US Affecting Non-US Investment Advisers (Updated in light of SEC Final Rulemaking)," November, 2011

Bullet Point: "Second Circuit Decision Contemplates Section 13(d) and Equity Swaps",August 2011

Global Note: "SEC Releases Final Rules for Investment Advisers in Accordance with Dodd-Frank Act", July 2011

Global Note - "CFTC Proposed CPO/CTA Exemptions, Compliance and Reporting Rules",  May 2011

Bullet Point - "Revisions to "Qualified Client" Thresholds",  July 2011

GlobalNote: "New FINRA "New Issues" Allocation Rule," March 4, 2011

"Developments in Family Office Regulation:  Part One"  by Michael G. Tannenbaum and Christina Zervoudakis, The Hedge Fund Law Report, October 1, 2010

"Protecting the Family Office by Using Managed Accounts"  by Michael G. Tannenbaum, July 2010

GlobalNote: "SEC Adopts Amendments to the Custody Rule under the Investment Advisers Act of 1940 in Attempt to Protect Client Assets From Fraudulent Conduct"  January 14, 2010

GlobalNote: "House of Representatives to Consider Private Fund Investment Advisers Registration Act of 2009."  November 9, 2009

GlobalNote: "Changes to New York's Power of Attorney Law," September 9, 2009

Putting Structures in Place (relating to carbon funds), Environmental Finance, September 2009

GlobalNote: " UBTI Legislation Reintroduced," August 11, 2009

GlobalNote: "Dismissal of SEC's Insider Trading Case Against Mark Cuban Changes the Guideposts for Investment Managers and Places Insider Trading Rules Into Question ," August 10, 2009

GlobalNote: "U.S. Treasury Proposes Plan For Financial Regulatory Reform," July 8, 2009

"GlobalNote: Electronic Filing of Form D," February 2009

Hedge Fund Regulatory Outlook for 2009, The Hedgefund Journal, February 2009

"The Hedge Fund Transparency Act," (February 6, 2009)

GlobalNote: Proposed EU Directive on Alternative Investment Fund Managers, 2009

GlobalNote: How to Register as an Investment Adviser with the SEC, 2009

"Revised Summary of the SEC's Emergency Orders Issued on September 18, 2008 Taking Temporary Action to Respond to Market Developments, and Amendments to These Orders Issued on September 21, 2008" (September 2008)

"SEC Proposes Amendments to Part II of Form ADV and Related Rules under the Investment Advisers Act of 1940," (April 2008)

How to Start a Hedge Fund in the US, HFM Week Special Report 2008

"The Fund Manager's Dilemma: the Need to Know versus the US Insider Trading Laws," published in the Alternative Investment Management Association Magazine's Autumn 2008 Edition.

"SEC Proposes Revisions to Regulation D" (August 2007)

"SEC Proposes Revisions to Rule 144 and Rule 145 To Shorten the Holding Period for Affiliates and Non-Affiliates" (September 2007)

"Final Rule to Prohibit Fraud by Investment Advisers to Certain Pooled Investment Vehicles Adopted." (August 2007)

"FTC Action Alerts Fund Managers that Significant Investments May Be Subject to Pre-Acquisition Notification Requirements under the Hart-Scott Rodino Act" (June 2007)

"Hedge Fund Investor Protection - Current SEC Rulemaking with Regard to Rule 206 and the Accredited Investor Standard" (February 2007)

"Proposed Rule to Prohibit Fraud by Investment Advisers and Proposed Revisions to the Definition of Accredited Investor" (January 2007)

"Recently enacted Pension Protection Act will make it easier for hedge fund managers to accept pension investment," Alternative Investment Quarterly, No. 20, Third Quarter 2006.

Rule 2A51-1 -- Definition of "Investments" for Purposes of Section 2(A)(51) (Definition of "Qualified Purchaser") (November 2006)

SEC Issues No-Action Letter Response to ABA Letter Requesting Clarification of Goldstein Decision,(August 2006)

Congress Passes Pension Legislation that Would Make It Easier for Fund Managers to Accept Pension Investment,(August 2006)

U.S. Court of Appeals Invalidates Hedge Fund Investment Adviser Registration Rule
GlobalNote (June 2006)

SEC Issues Interpretive Guidance On "Soft Dollars" Safe Harbor, (July 2006)

SEC Response to ABA Letter Regarding Hedge Fund Adviser Registration Rules and Other Hedge Fund Adviser Rules
GlobalNote (December 2005)

SEC Rules Requiring Registered Investment Advisers to Implement Written Compliance Program
GlobalNote (October 2005)

Compliance and Filing Requirements for Fund Managers that Are Registered Investment Advisers
Memorandum (December 2004)

Final Rules to Require Certain Hedge Fund Managers to Register with the SEC
GlobalNote (December 2004)

SEC Commissioners Approve Proposed Rules to Require Certain Hedge Fund Managers to Register with the SEC
Bullet Point (October 27, 2004)

SEC Adopts New Rule 204A-1 of the Advisers Act - Registered Investment Advisers Are Required to Adopt a Code of Ethics
Bullet Point (July 14, 2004)

"Courting Pension Funds? Beware the 25 Percent Rule,"
Institutional Investor's Alpha (June/July 2004)

Registered Investment Advisers Are Now Expected to Retain E-Mail
Bullet Point (March 2004)

SEC Permits Registered Investment Advisers to Provide Past Specific Recommendations in Response to Unsolicited Requests for Information
Bullet Point (March 2004)

NASD Releases Notice to Members Regarding New Rule 2790 (Restrictions on the Purchase and Sales of IPOs of Equity Securities)
Bullet Point (January 2004)

SEC Adopts Final Rules Requiring Registered Investment Advisers to Implement Written Compliance Program
Bullet Point (January 7, 2004)

SEC Approves Rule Change to NASD Hot Issues Rule
Bullet Point (November 2003)

SEC Adopts Amendments to Custody Rule under Investment Advisers Act of 1940
Bullet Point (October 2003)

SEC Proposed Rules: Compliance of Registered Investment Companies and Registered Investment Advisers
Bullet Point (February 2003)

New Proxy Voting Rule and Amendments to Current Rule Requiring Registered Investment Advisers to Maintain Certain Books and Records Under the Investment Advisers Act of 1940
Bullet Point (February 2003)

Proposed New Proxy Voting Rules and Proposed Amendments to Current Rules Requiring Registered Investment Advisers to Maintain Certain Books and Records Under The Investment Advisers Act of 1940
Bullet Point (October 2002)

Proposed Amendments to Conduct Rules for IPO Activities
Bullet Point (August 2002)

Proposed Amendments to Current Custody Rules Under the Investment Advisers Act of 1940
Bullet Point (August 2002)