All News

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1-9-2012

Vista360 Perspective: Top 10 Tips to Reduce CCO Liability Advisers

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1-9-2012

OCIE Staff Release Social Media Risk Alert for Investment Advisers Advisers

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1-4-2012

SEC Adopts New Net Worth Standard for Accredited Investors Private Funds & Advisers

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12-13-2011

Vista360 Perspective: Top 10 Year-End Compliance To-Dos Advisers

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12-13-2011

SEC to Hold National Seminar as Part of Its Compliance Outreach Program Funds & Advisers

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11-9-2011

SEC Adopts Private Fund Adviser Reporting Obligations Advisers

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9-29-2011

SEC Adopts Large Trader Reporting Regime Advisers

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9-28-2011

Amendments to Exchange Act Rule 14a-8 Effective September 20, 2011 Funds

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9-15-2011

SEC Provides Pay to Play No Action Relief Advisers

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8-31-2011

FINRA Regulatory Notice Provides Added Clarity on Social Media Mutual Funds

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8-25-2011

Vista360 Perspective: Top 10 Market Volatility Considerations Funds & Advisers

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7-27-2011

Reminder: Brochure Supplements Must be Ready by July 31 Advisers

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6-29-2011

SEC Adopts Changes to the Investment Advisers Act Funds & Advisers

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6-8-2011

SEC Formally Establishes a Whistleblower Program Advisers

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4-26-2011

ADV Part 2A has been filed. Now what? Advisers

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4-25-2011

Reminder: Institutional Investment Managers Need to Record Say-on-Pay Votes Funds & Advisers

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4-11-2011

Vista360 Perspective: Harmonization of BD and IA Rules Advisers

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3-1-2011

Department of Labor Extends New ERISA Fee Disclosure Effective Date Advisers

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3-1-2011

SEC Releases Two Studies Affecting Investment Advisers Advisers

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3-1-2011

SEC Proposes Private Fund Adviser Reporting Obligations Advisers

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3-1-2011

SEC Proposes Changes to Accredited Investors Standard Funds & Advisers

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2-15-2011

SEC Adopts Final Rules for Say on Pay Funds & Advisers

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2-15-2011

SEC Establishes Municipal Adviser Registration Requirements Advisers

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1-3-2011

SEC Extends Compliance Dates for Form ADV Part 2B Advisers

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12-30-2010

SEC Proposes Rules Implementing Dodd-Frank Act Provisions Advisers

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12-23-2010

President Obama Signs Bill Clarifying Red Flags Rule Advisers

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12-21-2010

Vista360 Perspective: Top Ten Tips for Writing in Plain English Funds & Advisers

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12-21-2010

Revised GIPS Standards Take Effect January 1, 2011 Advisers

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12-6-2010

Vista360 Perspective: Expert Networks and Inside Information Funds & Advisers

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11-30-2010

Vista360 Perspective: How to Draft the New Form ADV Part 2 Summary Form ADV Part 2 Road Map Form ADV Part 2A Template Advisers

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11-23-2010

Recent SEC Staff Changes Funds & Advisers

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11-18-2010

SEC Delays Short Sale Circuit Breaker Compliance Date Funds & Advisers

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11-10-2010

California Bill Requires Placement Agents to Register as Lobbyists Advisers

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11-8-2010

SEC Posts Tentative Dodd-Frank Rulemaking Schedule Advisers

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11-8-2010

Vista360 Perspective: Plain English Funds & Advisers

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11-5-2010

Important ERISA Developments Advisers

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11-3-2010

SEC Proposes New Whistleblower Program Funds & Advisers

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10-4-2010

SEC Stays Proxy Access Rules Mutual Funds

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9-16-2010

Federal Regulators Issue Model Privacy Notice Funds & Advisers

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8-25-2010

SEC Adopts Proxy Access Rule Mutual Funds

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7-21-2010

SEC Adopts Amendments to Form ADV, Part 2 Advisers

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7-21-2010

SEC Proposes New Rules on Mutual Fund Distribution Fees Funds

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7-14-2010

Investment Adviser Representative Search Now Available Advisers

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6-30-2010

SEC Adopts "Pay to Play" Anti-Fraud Rule Advisers

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5-28-2010

FTC Extends Enforcement Deadline for Red Flags Rule to 12/31/2010 Funds & Advisers

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5-25-2010

SEC Issues Staff Responses to Questions about Money Market Fund Reform Mutual Funds

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4-21-2010

Regulation S-AM Compliance Date is June 1 Funds & Advisers

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4-21-2010

Red Flags Rule Compliance Date is June 1 Funds & Advisers

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4-15-2010

SEC Posts Online Model Privacy Form Builder Funds & Advisers

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4-9-2010

Vista360 Perspective: Effectively Managing Change – a Model for Compliance Officers Funds & Advisers

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4-1-2010

SEC Hires First Chief Compliance Officer Funds & Advisers

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3-30-2010

Supreme Court Decides Jones v. Harris Funds

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3-24-2010

Vista360 Perspective: 2010 CCOutreach National Seminar Funds & Advisers

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3-16-2010

Senate Reform Bill Introduced Funds & Advisers

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3-12-2010

SEC Posts Small Entity Compliance Guide to Custody Rule Advisers

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3-5-2010

SEC Releases New AML Guidance Mutual Funds

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3-5-2010

SEC Issues FAQs About the Custody Rule Advisers

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2-26-2010

DOL Re-Proposes Investment Advice Rule Advisers

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2-26-2010

Regulation SHO Advisers

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2-23-2010

Money Market Reforms Mutual Funds

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2-22-2010

Delivery of Proxy Materials Mutual Funds

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2-17-2010

Deadline for Compliance with Massachusetts Privacy Standards March 1st Funds & Advisers

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2-2-2010

FINRA Regulatory Notice: Application of Communications Rules to Social Media Use Mutual Funds

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1-13-2010

SEC Names New Unit Chiefs and Head of Office of Market Intelligence Funds & Advisers

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1-4-2010

Carlo di Florio is New Director of OCIE Funds & Advisers

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12-31-2009

Interim Final Temporary Rule on Principal Transactions Advisers

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12-30-2009

Custody Rule Amendments Advisers

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12-16-2009

Enhanced Proxy Disclosures Mutual Funds

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Perspective Dec. 2009

Letters from SEC’s Chicago Regional Office Informing Advisers They are Being Considered for an Exam

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12-14-2009

Comment Period Re-Opened for Shareholder Director Nomination Proposal Funds & Advisers

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12-11-2009

House Passes Wall Street Reform and Consumer Protection Act Funds & Advisers

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11-16-2009

Links to FAQs for Schedule C of the 2009 Form 5500 Funds & Advisers

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11-13-2009

Extension of Compliance Date of Regulation S-AM to June 1, 2010 Funds & Advisers

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11-2-2009

Industry Groups File Amicus Briefs in Supreme Court Fee Case (Jones v. Harris Assoc.) Funds

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Perspective Nov. 2009

November 2009 “Hot Industry Topics (“HIT”) list

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10-30-2009

FTC extends enforcement deadline of Red Flags Rule until June 1, 2010 Funds & Advisers

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10-1-2009

Michigan Adopts New Uniform Securities Act Advisers

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Perspective Oct. 2009

SEC Issues No-Action Letters to Omgeo Trade Confirmation Recordkeeping Relief for Advisers

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9-18-2009

Interim Final Temporary Rule Requiring Disclosure of Certain Money Market Fund Portfolio Holdings Funds

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9-8-2009

DOL Approves Use of Summary Prospectus for ERISA accounts Funds

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Perspective Aug. 2009

Pay-to-Play Practices in the Management of Public Pension Plans

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SEC News

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1-9-2012

OCIE Staff Release Social Media Risk Alert for Investment Advisers Advisers

---

1-4-2012

SEC Adopts New Net Worth Standard for Accredited Investors Private Funds & Advisers

---

12-13-2011

SEC to Hold National Seminar as Part of Its Compliance Outreach Program Funds & Advisers

---

11-9-2011

SEC Adopts Private Fund Adviser Reporting Obligations Advisers

---

9-29-2011

SEC Adopts Large Trader Reporting Regime Advisers

---

9-28-2011

Amendments to Exchange Act Rule 14a-8 Effective September 20, 2011 Funds

---

9-15-2011

SEC Provides Pay to Play No Action Relief Advisers

---

7-27-2011

Reminder: Brochure Supplements Must be Ready by July 31 Advisers

---

6-29-2011

SEC Adopts Changes to the Investment Advisers Act Funds & Advisers

---

6-8-2011

SEC Formally Establishes a Whistleblower Program Advisers

---

4-25-2011

Reminder: Institutional Investment Managers Need to Record Say-on-Pay Votes Funds & Advisers

---

3-1-2011

SEC Releases Two Studies Affecting Investment Advisers Advisers

---

3-1-2011

SEC Proposes Private Fund Adviser Reporting Obligations Advisers

---

3-1-2011

SEC Proposes Changes to Accredited Investors Standard Funds & Advisers

---

2-15-2011

SEC Adopts Final Rules for Say on Pay Funds & Advisers

---

2-15-2011

SEC Establishes Municipal Adviser Registration Requirements Advisers

---

1-3-2011

SEC Extends Compliance Dates for Form ADV Part 2B Advisers

---

12-30-2010

SEC Proposes Rules Implementing Dodd-Frank Act Provisions Advisers

---

11-23-2010

Recent SEC Staff Changes Funds & Advisers

---

11-18-2010

SEC Delays Short Sale Circuit Breaker Compliance Date Funds & Advisers

---

11-8-2010

SEC Posts Tentative Dodd-Frank Rulemaking Schedule Advisers

---

11-3-2010

SEC Proposes New Whistleblower Program Funds & Advisers

---

10-4-2010

SEC Stays Proxy Access Rules Mutual Funds

---

9-16-2010

Federal Regulators Issue Model Privacy Notice Funds & Advisers

---

8-25-2010

SEC Adopts Proxy Access Rule Mutual Funds

---

7-21-2010

SEC Adopts Amendments to Form ADV, Part 2 Advisers

---

7-21-2010

SEC Proposes New Rules on Mutual Fund Distribution Fees Funds

---

7-14-2010

Investment Adviser Representative Search Now Available Advisers

---

6-30-2010

SEC Adopts "Pay to Play" Anti-Fraud Rule Advisers

---

5-25-2010

SEC Issues Staff Responses to Questions about Money Market Fund Reform Mutual Funds

---

4-21-2010

Regulation S-AM Compliance Date is June 1 Funds & Advisers

---

4-15-2010

SEC Posts Online Model Privacy Form Builder Funds & Advisers

---

4-1-2010

SEC Hires First Chief Compliance Officer Funds & Advisers

---

3-12-2010

SEC Posts Small Entity Compliance Guide to Custody Rule Advisers

---

3-5-2010

SEC Releases New AML Guidance Mutual Funds

---

3-5-2010

SEC Issues FAQs About the Custody Rule Advisers

---

2-26-2010

Regulation SHO Advisers

---

2-23-2010

Money Market Reforms Mutual Funds

---

2-22-2010

Delivery of Proxy Materials Mutual Funds

---

1-13-2010

SEC Names New Unit Chiefs and Head of Office of Market Intelligence Funds & Advisers

---

1-4-2010

Carlo di Florio is New Director of OCIE Funds & Advisers

---

12-31-2009

Interim Final Temporary Rule on Principal Transactions Advisers

---

12-30-2009

Custody Rule Amendments Advisers

---

12-16-2009

Enhanced Proxy Disclosures Mutual Funds

---

12-14-2009

Comment Period Re-Opened for Shareholder Director Nomination Proposal Funds & Advisers

---

11-13-2009

Extension of Compliance Date of Regulation S-AM to June 1, 2010 Funds & Advisers

---

9-18-2009

Interim Final Temporary Rule Requiring Disclosure of Certain Money Market Fund Portfolio Holdings Funds

---

Legislative News

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3-16-2010

Senate Reform Bill Introduced Funds & Advisers

---

12-11-2009

House Passes Wall Street Reform and Consumer Protection Act Funds & Advisers

---

Agency News

---

3-1-2011

Department of Labor Extends New ERISA Fee Disclosure Effective Date Advisers

---

12-23-2010

President Obama Signs Bill Clarifying Red Flags Rule Advisers

---

11-5-2010

Important ERISA Developments Advisers

---

5-28-2010

FTC Extends Enforcement Deadline for Red Flags Rule to 12/31/2010 Funds & Advisers

---

4-21-2010

Red Flags Rule Compliance Date is June 1 Funds & Advisers

---

2-26-2010

DOL Re-Proposes Investment Advice Rule Advisers

---

11-16-2009

Links to FAQs for Schedule C of the 2009 Form 5500 Funds & Advisers

---

10-30-2009

FTC extends enforcement deadline of Red Flags Rule until June 1, 2010 Funds & Advisers

---

9-8-2009

DOL Approves Use of Summary Prospectus for ERISA accounts Funds

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Other News

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8-31-2011

FINRA Regulatory Notice Provides Added Clarity on Social Media Mutual Funds

---

4-26-2011

ADV Part 2A has been filed. Now what? Advisers

---

12-21-2010

Revised GIPS Standards Take Effect January 1, 2011 Advisers

---

11-10-2010

California Bill Requires Placement Agents Register as Lobbyists Advisers

---

3-30-2010

Supreme Court Decides Jones v. Harris Funds

---

2-17-2010

Deadline for Compliance with Massachusetts Privacy Standards March 1st Funds & Advisers

---

2-2-2010

FINRA Regulatory Notice: Application of Communications Rules to Social Media Use Mutual Funds

---

11-2-2009

Industry Groups File Amicus Briefs in Supreme Court Fee Case (Jones v. Harris Assoc.) Funds

---

10-1-2009

Michigan Adopts New Uniform Securities Act Advisers

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Perspectives

Our Perspective news bulletins are intended to bring industry focused news in a succinct and timely manner to our Perspective subscribers. Our research team analyzes and summarizes key adviser and fund regulatory initiatives and news events for our Perspective subscribers to assist in staying on top of the ever-changing regulatory landscape. To subscribe to our Perspective or to obtain more information about how we help investment advisers and funds with compliance and operations matters, please contact us.

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1-9-2012

Vista360 Perspective: Top 10 Tips to Reduce CCO Liability Advisers

---

12-13-2011

Vista360 Perspective: Top 10 Year-End Compliance To-Dos Advisers

---

8-25-2011

Vista360 Perspective: Top 10 Market Volatility Considerations Funds & Advisers

---

4-11-2011

Vista360 Perspective: Harmonization of BD and IA Rules Advisers

---

12-21-2010

Vista360 Perspective: Top Ten Tips for Writing in Plain English Funds & Advisers

---

12-6-2010

Vista360 Perspective: Expert Networks and Inside Information Funds & Advisers

---

11-30-2010

Vista360 Perspective: How to Draft the New Form ADV Part 2 Summary Form ADV Part 2 Road Map Form ADV Part 2A Template Advisers

---

11-8-2010

Vista360 Perspective: Plain English Funds & Advisers

---

4-9-2010

Vista360 Perspective: Effectively Managing Change – a Model for Compliance Officers Funds & Advisers

---

3-24-2010

Vista360 Perspective: 2010 CCOutreach National Seminar Funds & Advisers

---

12-30-2009

Custody Rule Amendments Funds & Advisers

---

Perspective Dec. 2009

Letters from SEC’s Chicago Regional Office Informing Advisers They are Being Considered for an Exam

---

Perspective Nov. 2009

November 2009 “Hot Industry Topics (“HIT”) list

---

Perspective Oct. 2009

SEC Issues No-Action Letters to Omgeo Trade Confirmation Recordkeeping Relief for Advisers

---

Perspective Aug. 2009

Pay-to-Play Practices in the Management of Public Pension Plans

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Disclaimer

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The information in the Industry News and Vista360 News sections is intended for informational purposes only. The information is derived from sources deemed to be reliable, but should not be considered complete or guaranteed. Further, the information provided should not be construed as customized advice, legal or otherwise.