Our June 2010 issue of Investment Management Developments discusses the following topics:

  • Money Market Fund Reform Q&A 
  • New Stock-by-Stock Circuit Breaker Rules 
  • FINRA Issues 2010 Annual Examination Priorities Letter 
  • Frequently Asked Questions (FAQs) about Amended Custody Rule 
  • Large Trader Reporting System Proposal 
  • Federal Regulatory Agencies Release Final Model Privacy Form 
  • SEC Letter Clarifies Application of Rule 2a-7 to Chase No-Action Letter 
  • SEC Proposes Investor Protection Measures in Options Markets 
  • Policy Statement on Obtaining and Retaining Beneficial Ownership Information for Anti-Money Laundering Purposes 
  • FinCEN Amends BSA Regulations to Define Mutual Funds as Financial Institutions 
  • SEC Official Highlights Examiners’ Focus 
  • Upcoming Seminars of Interest to Fund Directors and Trustees

Click on the PDF link above to read the full publication.

Leave Drinker Biddle to Learn More