Library Search
-
Investment Advisers Required To Adopt Proxy Voting Policies And Procedure ( February 2003 )
Under new rules adopted by the Securities and Exchange Commission, investment advisers will be required to adopt policies and procedures reasonably designed to ensure that proxies are voted in the best interests of clients. -
Proposed Rules Requiring Investment Companies and Investment Advisers to Adopt "Compliance Programs" ( July 2003 )
The Securities and Exchange Commission is proposing new rules that would require each investment company and investment adviser registered with the Commission to adopt and implement policies and procedures designed to prevent the violation of federal securities laws and to protect fund investors. -
SEC Adopts Rules Regarding Proxy Voting By Investment Advisers ( June 2003 )
On January 31, 2003 the U.S. Securities and Exchange Commission (the “SEC”) adopted new rules under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), that require each adviser registered under the Advisers Act that exercises proxy voting authority over client securities to fulfill cetain obligations. -
SEC Adopts Final Rule Relating to Analyst Certification ( April 2003 )
In an effort to promote the integrity of research reports and investor confidence in those reports, on February 20, 2003, the SEC adopted final rules relating to certification of broker-dealer research reports. New Regulation Analyst Certification requires research analysts to certify in research reports for which they are responsible that the views expressed in the report accurately reflect the analyst's personal views and to disclose whether or not the analyst received compensation or other payments in connection with his or her specific recommendations or views. -
Summary Of Proposed Pennsylvania Investment Bill September 2000 Draft ( October 2000 )
The September 2000 draft of the proposed bill entitled the Local Government Investment Reform Act was generated by . -
Settlement of NASDAQ Litigation ( December 1999 )
This Client Alert discusses the "Notice Regarding Proposed Plan of Distribution, Hearing and Proof of Claim" issued by the US District Court for the Southern District of New York on June 11, 1999. -
Highlights of the "Gramm-Leach-Bliley Act" ( December 1999 )
On Friday, November 12, 1999, President Clinton signed the Gramm-Leach-Bliley Act (the "Act") into law, setting in . -
Investment Management Update: Investment Adviser Year 2000 Reports ( October 1998 )
A study of the effect of Rule 204-5 and Form ADV-Y2K (adopted by the SEC under the Investment Advisers Act of 1940) on registered investment advisers regarding the Y2K Problem. -
Finance in Illinois ( June 1999 )
In almost every session of the General Assembly in recent years, legislation has emerged which requir. -
Regulatory Developments Effecting the U.S. Investment Management Industry ( June 1999 )
As the U.S. investment management industry continued to experience phenomenal growth over the past year, there were.