Hedge Fund Regulation on the Horizon — Don't Shoot the Messenger blog
SEC (finally) Articluates Corporate Cooperation Criteria blog
In a recent litigation release, the SEC explains the resolution of a Reg FD matter. For the first time ever (at least in my memory), the SEC chose to charge the individual vs. the company AND the individual.
Welcoming Remarks Before the 34th IOSCO Annual Conference blog
Dear colleagues, ladies and gentlemen, allow me to join my colleagues in welcoming you to Tel Aviv for IOSCO's 34th Annual Conference. It is a pleasure and an honor to address you all this morning.
Investment Company Act of 1940: Regulatory Gap between Paradigm and Reality? blog
OCEG One Minute Poll: Is the CECO a Company Official? resource OMP - One Minute Poll OCEG Reviewed
Quick research poll of the OCEG worldwide membership. October 2007
Remarks Before the Mutual Fund Directors Forum Ninth Annual Policy Conference blog
Thank you, Al [Fichera], for that warm welcome. It is a pleasure to be speaking here today at the Ninth Annual Policy Conference of the Mutual Fund Directors Forum. The Forum has been at the forefront of fund governance since its creation and continues as an important voice for independent directors.
Strengthening the Money Market Framework with Investors in Mind blog
Thank you Chairman Schapiro.
Money market funds were founded nearly 40 years ago. And, as is well known, one of the hallmarks of money market funds is their ability to maintain a stable net asset value — typically at a dollar per share.
"The Globalization of Investment Advisers — How Will Regulators Respond?" blog
SEC, Final Rule - Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 resource National Regulations Member contributionOCEG Reviewed
SEC: Consolidated Audit Trail, Proposed Rule (June 2010) resource National Regulations OCEG Reviewed
75 Federal Register 32556 (June 8, 2010); 17 CFR Part 242
