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)