"Final Form PF Rules," October 2011
GlobalNote: "New FINRA "New Issues" Allocation Rule," March 4, 2011
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: "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
"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)
"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)
"Proposed Rule to Prohibit Fraud by Investment Advisers and Proposed Revisions to the Definition of Accredited Investor" (January 2007)
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
June, 2006
GlobalNote - Volume 2 Number 2
Spring, 1996