GlobalNote

(Private Funds/Capital Markets)

Global Note ^TM is a publication of the Financial Services Capital Markets group of Tannenbaum Helpern Syracuse & Hirschtritt LLP. This publication is general in nature and provides information to our clients and friends and is not intended to be a substitute for legal advice or a legal opinion rendered in response to a specific set of facts.

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• Global Note: "When Government Information Can Be "Inside Information" Under the Federal Securities and Commodities Laws", January 2012

• 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

• GlobalNote: "New Regulatory Provisions in the US Affecting Non-US Investment Advisers (Updated in light of SEC Final Rulemaking)," November, 2011 March 4, 2011

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

• GlobalNote: "Dodd-Frank Act Changes Regulatory Regime for Investment Advisors," September 2010

• GlobalNote: "SEC Adopts Amendments to Reg SHO," June 2010

• GlobalNote: "SEC Approves New Stock-by-Stock Circuit Breaker Rules," June 2010

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

• GlobalNote: "IRS Memo Addresses Loan Origination by Offshore Entities," September 25, 2009

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

• GlobalNote: "Additional Relief Offered on FBAR Filings," August 21, 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: "Update on FBAR Filing Requirements and Extension of FBAR Filing Deadline Granted," June 26, 2009

• GlobalNote: "Impact of the Introduction of the Stop Tax Haven Abuse Act on the Private Fund Industry," March 12, 2009
  
  
• "GlobalNote: Electronic Filing of Form D," February 2009
  
  
• "The Hedge Fund Transparency Act," (February 6, 2009)
  
  
• "Increased Estate Planning Opportunities in Current Low Interest Environment," (April 7,2008)
  
  
• "SEC Proposes Amendments to Part II of Form ADV and Related Rules under the Investment Advisers Act of 1940," (April 2008)
  
  
• "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)
  
  
• "EC Trademark Owners Should Consider Protecting Trademarks in the U.S. Even If There Is No Current U.S. Use" (June 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)
  
  
• "Annual Verification Of Investors' Status Under New Issue Rule" (February 2007)
  
  
• "Private 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)
  
  
• 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)
  
  
• SEC Issues Interpretive Guidance On "Soft Dollars" Safe Harbor, (July 2006)
• U.S. Court of Appeals Invalidates Private Fund Investment Adviser Registration Rule, (June 2006)
  
  
• Winter 1998-1999 - Special Focus Report - Principles of Islamic Finance
  
  
• Spring, 1998 - Volume 3 Number 1
  
  
• Spring, 1996 - Volume 2 Number 2
  
  
• Winter, 1996 - Volume 2 Number 1
  
  
• Fall, 1995 - Volume 1 Number 4
  
  
• Summer, 1995 - Volume 1 Number 3
  
  
• Spring, 1995 - Volume 1 Number 2
  
  
• Winter, 1995 - Volume 1 Number 1