SEC Will Miss Deadline for Fund Advertising Rules

June 27, 2012 § 4 Comments

According to anticipated testimony by SEC Chairman Mary Schapiro, the SEC will miss the deadline to adopt rules that would lift the ban on advertising and general solicitation by hedge funds and other private pooled investment vehicles. « Read the rest of this entry »

Financial Services Committee Proposes Investment Adviser SROs

April 26, 2012 § Leave a comment

Rep. Spencer Bachus (R-AL), Chair of the House Financial Services Committee, and Rep. Carolyn McCarthy (D-NY) introduced legislation–the Investment Adviser Oversight Act of 2012–that would create new self-regulatory organizations intended to provide more efficient and effective oversight of the retail investment advisory industry. « Read the rest of this entry »

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