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Top 5 Regulatory Alerts – August 2012

Top 5 Regulatory Alerts – August 2012

Here are our Top 5 Regulatory Alerts for August 2012, ranked by
significance.  We have also included the Top 5 most read Alerts.

Top 5 Regulatory Alerts – August 2012

  1. SEC
    Proposes Due Diligence Rules for Private Fund Advertising and Solicitation

    (8/30/12)
  2. Schapiro
    Tables Money Market Fund Reform Proposals
    (8/27/12)
  3. SEC
    Awards First Whistleblower Payment
    (8/22/12)
  4. Fund
    CFO Barred from Industry and Fined for Covering Up Error

    (8/28/12)
  5. BD
    Fined $6.5 Million for Over-Relying on Credit Ratings

    (8/16/12)

Most Read – August 2012

  1. FINRA
    Expels BD for Weak Supervisory/Compliance Structure
    (8/1/12)
  2. SEC
    Pursues Adviser for Day Trading Cherry-Picking

    (8/29/12)
  3. SEC
    Delays JOBS Act Implementation
    (8/20/12)
  4. Fund
    CFO Barred from Industry and Fined for Covering Up Error

    (8/28/12)
  5. Best
    of the Web – August 2012
    (8/23/12)

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