Roadmaps and Summaries on the key provisions and regulatory rulemakings impacting investment advisers can be found below for each relevant title:
News and Legal Alerts
Sutherland Forms Response Team to Help Clients Address Whistleblower Claims in 2012
December 21, 2011
While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry
Broker-Dealers, Fiduciary Duties and Enhanced Conduct Standards Under the Financial Reform Act
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry
Legal Alert: New Whistleblower Protections for Financial Service Employees
October 1, 2010
The Playing Field: The Dodd-Frank Reform Bill Afterlife
September 1, 2010
Does a Statutory Fiduciary Duty Mean a More Substantive Fiduciary Duty? What the Future May Hold
August 2010 Reprinted with permission IAA Newsletter
Past Events
Webinar - Whistleblower Initiatives: Implementing the SEC's Bounty Program
June 22, 2011
To listen to the full webinar, please click on the link above. For the presentation slides, please click here.
Webinar - Whistleblower Initiatives: What You Need to Know
January 26, 2011
To listen to the full webinar, please click on the link above. For the presentation slides, please click here. To view a summary of selected comment letters to the SEC regarding proposed rule 21F, click here.
ALI-ABA - The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, Supervision and Sales
October 21-22, 2010
ALI-ABA - Dodd-Frank Financial Reform and its Impact on the Securities Industry
October 8, 2010
The Fiduciary Forum 2010
September 24, 2010
Dodd-Frank and the New Regulatory Regime for Advisers
September 21, 2010
Fiduciary Duty Forum
July 28, 2010
Envestnet Webinar - Exploring the Fiduciary Opportunity
July 27,2010
The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation
October 8-9, 2009
Webinar: Investment Advisers: The Changing Regulatory Landscape
September 21, 2009
Investment Adviser Roundtable: 2009 Industry and Regulatory Outlook
January 14, 2009
Contacts
| Eric C. Freed |
212.389.5055 |
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| Clifford E. Kirsch |
212.389.5052 |
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| Michael B. Koffler |
212.389.5014 |
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Other Resources
Legislative Benchmarks
November 19, 2009:
Regulatory Reform, markup, The Senate Banking Committee, on the Dodd bill entitled, "The Restoring American Financial Stability Act of 2009." For additional details, click here.
October 22, 2009:
Regulatory Reform, markup, House Financial Services Committee, on the following bills: H.R. 3813, the Private Fund Investment Advisers Registration Act of 2009; H.R. 3817, the Investor Protection Act of 2009; H.R. 2609, the Federal Insurance Office Act of 2009; and the Accountability and Transparency in Rating Agencies Act of 2009, which remains in discussion draft. For additional details, click here.
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Roadmaps
As various Title sections are updated, an asterisk(*) next to a Title will note changes in certain Key Provisions and Regulations in the Roadmap. Within each Roadmap Title, the section most recently updated is highlighted in yellow.
Title IV - Key Provisions and Regulatory Rulemakings
*Title IX - Key Provisions and Regulatory Rulemakings
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