| 07/13/2011 |
SEC Adopts New Rules and Amendments Under Dodd-Frank Act |
| 07/13/2011 |
Thompson Hine Grows New York Office |
| 06/27/2011 |
2011 Legal 500 United States Recommends Thompson Hine |
| 06/16/2011 |
Thompson Hine Again Ranked as Leading U.S. Law Firm |
| 06/03/2011 |
Save The Date: Hedge Fund Seminar: Capital Introduction After Dodd-Frank |
| 06/01/2011 |
Impact of a Fiduciary Standard of Care on Broker-Dealers Advising Retail Customers |
| 05/31/2011 |
Thompson Hine Adds to New York Office |
| 05/19/2011 |
Investment Management Update: SEC Proposes to Disqualify Felons and Other “Bad Actors” from Rule 506 Offerings |
| 05/19/2011 |
Investment Management Update: SEC Issues Notice Regarding Inflation Indexing of Performance Fee Rule |
| 05/11/2011 |
Thompson Hine First in Mutual Fund Representation |
| 02/07/2011 |
Investment Management Update: SEC Issues Report on Investment Adviser Examinations |
| 01/04/2011 |
Investment Management Update: SEC Extends Compliance Dates for Adviser Brochure Supplements |
| 12/15/2010 |
Investment Management Update: SEC Proposes New Rules and Form ADV Amendments Implementing the Investment Advisers Act Provision of the Dodd-Frank Act |
| 12/10/2010 |
Privacy & Information Security and Investment Management Update: Congress Passes Legislation Clarifying Red Flags Rule; Compliance Deadline Approaches |
| 12/02/2010 |
Investment Management Update: SEC Proposes Registration Exemptions for Advisers to Venture Capital Funds and Certain Private Funds and Foreign Advisers |
| 11/22/2010 |
Investment Management Update: DOL Proposes Update to Definition of Fiduciary to Include More Advisers |
| 11/10/2010 |
Investment Management Update: FINRA Proposes Broker Disclosure Statement for Retail Investors |
| 10/21/2010 |
Investment Management Update: SEC Proposes Rule Defining “Family Office” Exclusion Under Investment Advisers Act |
| 09/08/2010 |
Life After Dodd: Navigating Hedge Funds through the New Regulatory Era |
| 08/30/2010 |
Employee Benefits Update: New Retirement Plan Fee Disclosures – Getting Ahead of the July 16, 2011 Deadline |
| 08/11/2010 |
Investment Management Update: SEC Adopts Amendments to Form ADV Part 2 |
| 08/03/2010 |
Investment Management Update: SEC Proposes Rescinding Rule 12b-1 and Overhauling of Mutual Fund Distribution Fees |
| 07/21/2010 |
Investment Management Update: SEC Adopts “Pay-to-Play” Rules for Investment Advisers |
| 07/01/2010 |
Investment Management Update: Dodd-Frank Wall Street Reform and Consumer Protection Act—Regulation D Impact |
| 06/02/2010 |
Privacy & Information Security and Investment Management Update: Compliance Date for Identity Theft Rules Delayed Again |
| 03/25/2010 |
Investment Management Update: SEC Reviews Use of Derivatives by Investment Companies |
| 03/23/2010 |
Investment Management Update: AML Policy Statement on Obtaining and Retaining Beneficial Ownership Information |
| 02/23/2010 |
Thompson Hine Partner Re-Elected to Hedge Fund Association Board |
| 02/04/2010 |
The Regulation of Investment Funds – A Fordham Law Symposium February 19, 2010 |
| 01/28/2010 |
Investment Management Update: FINRA Releases Guidance on Blogs and Social Networking Web Sites |
| 01/25/2010 |
Investment Management Update: Enhanced Governance and Risk Oversight Disclosure for Investment Companies |
| 01/19/2010 |
Investment Management Update: SEC Adopts Amended Custody Rules for Investment Advisers |
| 01/05/2010 |
Investment Management Update: SEC Adopts Rules Regarding Principal Trades with Certain Clients |
| 11/11/2009 |
Investment Management Update: Proposed Amendments to E-Proxy Rules |
| 11/03/2009 |
Privacy & Information Security and Investment Management Update: Identity Theft Rule Enforcement Deadline Once Again Delayed |
| 09/29/2009 |
Investment Management Update: SEC Adopts Interim Final Temporary Rule Requiring Disclosure of Certain Money Market Fund Portfolio Holdings |
| 09/16/2009 |
Identifying and Minimizing Risk for Private Equity Funds and Fund Managers |
| 08/25/2009 |
Investment Management Update: Practical Tips for Drafting and Using a Summary Prospectus |
| 08/10/2009 |
Investment Management Update: SEC Proposes Pay-to-Play Rules for Investment Advisers |
| 08/03/2009 |
Investment Management Update: Compliance Date for Red Flags Rules Delayed Due to Confusion Over Scope of Coverage |
| 08/03/2009 |
Investment Management Update: SEC Provides Guidance on “Ordinary Course of Business” Exception |
| 07/24/2009 |
Obama Administration Proposes “Private Fund Investment Advisers Registration Act of 2009″ |
| 07/01/2009 |
Investment Management Update: SEC Proposes Changes to the Investment Adviser Act Custody Rule |
| 06/22/2009 |
Investment Management Update: The Administration’s Plan for Financial Regulatory Reform and Its Impact on Investment Companies, Investment Advisers and Broker-Dealers |
| 06/19/2009 |
Investment Management Update: SEC Sanctions Adviser and Distributor for Improper Securities Valuation and Selective Information Disclosure |
| 05/22/2009 |
Investment Management Update: SEC Enters Order Against Adviser Related to Proxy Voting |
| 04/02/2009 |
Investment Management Update: Treasury Announces Second Extension of Temporary Guarantee Program for Money Market Funds |
| 03/31/2009 |
Investment Management Update: FINRA Announces New Limited Representative – Investment Banking Registration Category |
| 03/03/2009 |
Investment Management Update: Electronic Filing and Revision of Form D |
| 02/16/2009 |
Investment Management Update: SEC Adopts Summary Prospectus and Related Amendments to Form N-1A |
| 12/18/2008 |
Investment Management Update: Top 10 Things To Do When Faced With an Informal Inquiry or Subpoena From the SEC’s Enforcement Division |
| 12/02/2008 |
Money Funds Re-Up Treasury Guarantee, Despite Cost |
| 12/01/2008 |
Investment Management Update: Treasury Announces Extension of Temporary Guarantee Program for Money Market Funds |
| 11/19/2008 |
Investment Management Update: SEC Changes Prospectus Summary Requirements |
| 11/10/2008 |
Investment Management Update: Rule Amendments Require EDGAR Filing of Exemptive Applications |
| 11/05/2008 |
Investment Management Update: FinCEN Withdraws Proposed Anti–Money Laundering Rules |
| 10/23/2008 |
Investment Management Update – FTC Grants Six-Month Delay in Red Flag Rules |
| 10/21/2008 |
Investment Management Update: SEC Adopts Interim Temporary Rule Requiring Short Sale Reporting |
| 10/03/2008 |
Investment Management Update: SEC Extends Emergency Orders |
| 10/02/2008 |
Investment Management Update: Treasury Announces Details of Temporary Guarantee Program for Money Market Funds |
| 08/19/2008 |
Investment Management Update – July 2008 SEC ComplianceAlert |
| 08/14/2008 |
Investment Management Update – Investors May Face Higher Tax Bill Following IRS Ruling |
| 08/05/2008 |
SEC Settles Action Against Fund for Violating Socially Responsible Investment Restrictions |
| 07/24/2008 |
Investment Management Update – Clarification of Cash Solicitation Rule |
| 07/21/2008 |
Richard Heller Defends Commodity Speculators on PBS |
| 05/30/2008 |
Seventh Circuit Rejects Gartenberg Standard in Adviser Fee Case and Fashions New Test |
| 04/18/2008 |
SEC Proposes Revisions to Regulation S-P and Expansion of Customer Privacy Requirements |
| 04/08/2008 |
SEC Re-Proposes Amendments to ADV Part 2 Form |
| 02/22/2008 |
Investment Management Update: Supreme Court Rejects Scheme Liability in Securities Fraud Case |
| 11/19/2007 |
Investment Management Update: Pension Protection Act of 2006 – A Prohibited Transaction Exemption for Cross-Trades |
| 10/02/2007 |
New Suitability Requirements for the Sale of Deferred Variable Annuities |
| 09/14/2007 |
Use of Rule 22c-2 Information for Marketing Purposes |
| 08/22/2007 |
Investment Management Update: NASD Permits Multiple Executive Officers for Annual Compliance Certifications |
| 02/13/2007 |
Emerging Developments in Hedge Fund Law |
| 11/06/2006 |
NYSE Proposes Amendment to Broker Voting Rule |
| 10/27/2006 |
SEC Adopts Amendments to the Mutual Fund Redemption Fee Rule and Extends Compliance Dates |
| 09/27/2006 |
SEC Adopts Amendments to Redemption Fee Rule and Extends Compliance Dates |
| 09/21/2006 |
Soft Dollar Arrangements: SEC Issues New Interpretive Guidance |
| 09/01/2006 |
New Prohibited Transaction Rules and ERISA Bond Requirements |
| 08/28/2006 |
Investment Management Update: SEC Adopts Fund of Fund Rules |
| 07/12/2006 |
SEC Guidance on Side Letters |
| 07/05/2006 |
Investment Management Update: Suspicious Activity Report |
| 06/19/2006 |
Investment Management Update: Update on Fund Governance Rules |
| 06/14/2006 |
Recent NASD Releases, Rules and Amendments |
| 04/12/2006 |
Investment Management – Hedge Funds & Private Equity Funds |
| 04/07/2006 |
U.S. Court of Appeals Vacates Board Independence Requirements |
| 04/01/2006 |
Investment Management Alert – Form LM-10 Deadline May 15, 2006 |
| 03/29/2006 |
Investment Management Update: DOL Form LM-10 Deadline 5/15/06 |
| 03/03/2006 |
Permanent Approval of NASD Rules on Bond Mutual Fund Volatility Ratings |
| 02/06/2006 |
NASD Interpretive Material on Gifts and Business Entertainment |
| 11/03/2005 |
Investment Management: New Interpretation of Rule 452 and Its Impact |
| 09/30/2005 |
Role of the Board of Trustees in a Fund’s Compliance Program |
| 09/13/2005 |
Evaluation of the Chief Compliance Officer |
| 07/05/2005 |
NASD Proposal to Amend the Non-Cash Compensation Rules and Prohibit Certain Sales Contests |
| 06/23/2005 |
Board of Director Oversight: Responsibilities & Strategies |
| 05/01/2005 |
SEC Adopts Rule Excepting Brokers Offering Certain Fee-Based Brokerage Accounts from the Investment Advisers Act |
| 04/15/2005 |
Fund Compliance Programs: The Annual Review and Report |
| 03/31/2005 |
SEC Adopts Mutual Fund Redemption Fee Rule |
| 03/15/2005 |
Fund Compliance Programs: Preparing for an SEC Examination |
