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MARCH 2002
FEBRUARY 2002
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DECEMBER 2001
NOVEMBER 2001
OCTOBER 2001
SEPTEMBER 2001
AUGUST 2001
JULY 2001
Investors Concerned About Financial Analyst Recommendations
SEC Provides Guidance on Order Routing Rules
Adviser Barred from Industry for Allegedly Defrauding Clients
FTC Requires Unregistered Hedge Funds to Have Privacy Policies
Amendments to Broker Dealer Registration Requirements Proposed
SIA Opposes SEC Regulation of Portfolio Investment Programs
SEC Closes Unregistered Mutual Funds Sold Over the Internet
Roye Reviews SEC Mutual Funds' Regulatory Agenda
OCIE Discusses Advisers' Valuation Procedures
SIA Issues Best Practices for Financial Analysts
California Adviser Charged with Defrauding Clients
Mutual Fund Adviser Wins Advisory Fee Case
SEC Bars Hedge Fund Adviser From Industry in Performance Advertising Case
Hedge Fund Adviser Charged with Portfolio Pumping
CFTC Extends Privacy Policy Deadline
JUNE 2001
Investment Company and Investment Adviser Electronic Recordkeeping Rules Adopted
NASD Plans to Eliminate Outdated Rules
NASD rule to Prohibit Interference with Transfer of Accounts
AIMR Revises Its Performance Presentation Standards
401(k) Plan Treated as a Single Person for Purposes of the 1940 Act Exemptions
SEC Warns Against Cutting Compliance Staff
New Interim Rules Exempt Banks from Broker-Dealer Registration
Pitt to be Nominated for SEC Chairman
New York Adviser Censured for Having Inadequate Insider Trading Procedures
Nazareth Outlines Market Regulation Agenda
OCIE to Focus on Money Laundering
Investment Adviser Sanctioned for Failing to File Form 13F Reports
Rule Exempting Broker-Dealers from the Adviser Registration Expected Soon
Former SEC Chairman to Join The Carlyle Group
Fourth Circuit Dismisses Case Alleging Breach of Fiduciary Duty by Mutual Fund Adviser
MAY 2001
SEC and NASAA Urged to Have More Uniformity in Filing Requirements
Trustee Sues Bear Stearns for Improper Hedge Fund Transfers
Former Fidelity Employees Charged with Fraud
Adviser Charged With Improper Advertising and Performance Fees
SEC Adds Margin Calculator to Its Web Site
Senate Bill Would Enhance IRAs and 401(k) Plans
SEC Sanctions Mutual Fund Adviser
SEC Issues Interpretative Letter on Regulation S-P
Investment Company Act Law Deos Not Preempt Investor Private Right of Action
Roye Speaks Out on Independent Director Issues
NASSA Proposes to Revise Forms U-4 and U-5
APRIL 2001
Maryland Adviser Sanctioned For Fraudelent Scheme
Credit and Market Risk Disclosure Recommendations
Regulator Addresses IA Compliance Issues
SEC Freezes Assets of Heartland Funds
Adviser Engages In Improper Use of Discretionary Authority
Roye Speaks on Mutual Fund Regulatory Developments
Compliance Date For Firm Quotes and Trade-Through Disclosure Rules For Options Extended
Rules Addressing Electronic Storage of Fund and Adviser Records Proposed
Compliance Date For Order Execution Disclosure and Routing Practices Rule Extended
4% Mutual Fund Redemption Fee Allowed
CFTC Proposes New Rules For Futures Exchanges
Tokyo Joe Case Settled by the SEC
Adviser Indicted For Fraud
Fund Filing Fee Insturctions Revised
Commisioner Speaks On Mutual Fund Performance Advertising Issues
MARCH 2001
SEC Revamps Its Web Site
Levitt Calls For T+1 Implementation
Investment Adviser Barred From the IndustryALJ Fines Mutual Fund Adviser
NASD Brings Six Variable Annuity Enforcement Cases
Division of Investment Management Issues Dear CFO Letter
Bush Names Unger Acting SEC Chairman
SEC Charges New Jersey Adviser Misappropriated Assets of Clients
SEC Brings Soft Dollar Case
FEBRUARY 2001
Massachusetts Adviser Charged With Fraud
New York Adviser Settles Fraud Charges
ALJ Fines Mutual Fund Adviser
NASD's SuperMontage System Approved
Mutual Funds Will Have To Disclose After-Tax Returns
New Mutual Fund Name Rule Approved
SEC Claims Portfolio Pumping By Some Mutual Funds
SEC Revokes Investment Adviser's Registration
Mutual Fund Fees Report Released
JANUARY 2001
SEC Chairman To Resign
Adviser Accused of Misapproriation
Commodities Futures Modernization Act of 2000 Signed Into Law
CFTC Chairman to Resign
Hedge Fund Adviser Charged With Fraud
SEC Grants Order Allowing VIPERS
Court Rules On Hedge Fund Adviser Due Diligence Requirement
New York Adviser Charged With Fraud
SEC Adopts Techincal Amendments to Form ADV
DECEMBER 2000
SEC To Hold Roundtable on Decilimization
SEC Adopts Stringent Independence Auditor Rule
New Trade-Through Disclosure Rules
New Order Execution and Routing Practices Disclosure Rules
Investment Adviser Settles Fraud Charges
SEC Chairman Warns Investment Advisers About IPO Favortism
Texas Investment Adviser Charged With Securities Fraud
SEC Releases Fourth Interpretative Release on Regulation FD
NOVEMBER 2000
SEC Provides Guidance on Regulation FD
House Passes Bill to Modernize the CFTC
SEC Seeks TRO Against Hedge Fund Operator
SEC Official Reviews Agenda for the Regulation of Insurance Products
SEC Adopts Proxy Householding Rule
Court Enjoins Investment Adviser Who Allegedly Defrauded His Clients
OMB Provides Guidance on Electronic Signatures
OCTOBER 2000
SEC Official Previews Proposed Mutual Fund Regulatory Initatives
SEC Adopts New Part 1A of Form ADV and Requires Electronic Filings of Form ADV
NASD Issues Guidance On When Unregistered Persons May Contact Prospective Clients
SEC and CFTC Reach An Accord Governing Single Stock Futures
SEC Freezes Assets of An Adviser
SEC Enters An Administrative Order Against Adviser Alleging Improper Switching of Variable Annuities
SEC Issues Bulletion On the Applicability of the Investment Advisrs Act to Financial Advisers of Municipal Bond Issuers
NASD Issues Internet Guide For Registered Representatives
Organizer of An Unregistered Investment Company Settles with the SEC
SEC Brings Failure to Supervise Charge Against Four Broker-Dealers
SEPTEMBER 2000
SEC Sanctions Adviser For False Advertising
SEC Adopts Rule Requiring Greater Corporate Disclosure to Individual Investors
Adviser Charged with Violating SEC Rules
SEC Announces IARD Filing Schedule
SEC Sanctions Adviser For Bad Soft Dollar Practices
AUGUST 2000
NASD Issues Notices on Activities of Unregistered Persons
Court Finds Broker-Dealer Non-Disclosures on Confirmations In Conformance with the Securities Laws
Distirct Court Finds Portfolio Manager Guilty of Personal Trading Violations
Decimal Implementation Plan Submitted by National Securities Exhanges and the NASD
House Passes Bill to Expand Scope of IRAs and Employee Pension Funds
Federal Judge Dismisses RICO Charge Against Long-Term Capital Management
SEC Proposes New Rules For Options and Equities Markets
NASAA Solicits Public Comment on Amendments to Implement Web IARD
JULY 2000
SEC Adopts Gramm-Leach Bliley Act Privacy Rules
NASD Provides Guidance on Appropriate Functions of Broker-Dealers' Registered Representatives
Compliance Officer Reimbursed Attorneys Fees Under Equal Access to Justice Act
SEC Proposes Modernization of Auditor Independence Rules
SEC Sets New Target Date For Decimal Pricing of Securities
SEC Issues Report on Electronic Communication Networks and After-Hours Trading
Clinton Signs Electronic Signatures Act
GAO Recommends Quarterly Disclosure of Mutual Fund Fees
JUNE 2000
SEC grants No-Action in the Sale of Ernest & Young's Consulting Business
SEC Charges Four Managers with Investment Adviser Fraud
SEC Grants No-Action Relief For Aggregation Transactions In Private Placements
SEC Grants ISE Exemption to Accomodate Its Electronic Marketwide Data System
Investment Adviser Sanctioned For Making False Representations to Clients About Commissions and for False Advertising
Small Broker Seeks Rulemaking Action To End Predatory Hiring Practices
SEC Settles Proceedings Against Sharp Capital
SEC Holds Roundtable on Significant Investment Adviser Regulatory Issues
SEC Sanctions Schield Management Company for False Performance Advertising
SEC and State Securities Regulators Announce Promissory Note Enforcement Sweep
SEC Charges Pankowski Associates With Inadequate Books and Records
MAY 2000
SEC Finds Compliance Failures in Displaying Customer Limit Orders
SEC Approves ECNs and ATSs to Register as Market Makers
SEC Clears NYSE To Allow Firms to Trade Big Board Stocks on Competing Markets
SEC Letter Addresses Violations Found During Inspections of Investment Advisers-Performance Advertising is Top Concern
Agenda for SEC Investment Adviser Regulatory Roundtable is Released
NASD Fines Kemper Distributors, Inc. for "Inaccurate" Mutual Fund Ad
SEC Adopts Rule Amendments for EDGAR System
Concerns about Auditor Independence Prod SEC to Propose Rulemaking to Maintain Quality of Financial Reporting
ICAA Issues Best Practices Addressing Pay-to-Play Abuses
Dreyfus Corporation and Former Portfolio Manager to Pay $3 Million to Settle Charges of IPO Allocation Favoritism
ALJ Orders Sanctions in Connection with Mutual Fund Sales Practices
APRIL 2000
SEC Proposes Major Revisions To Form ADV And an Internet-Based Filing System
SEC Implements Expanded Competency Test For New Advisers
SEC Proposes New Features To Further Modernize EDGAR
SEC Proposes Privacy Rules to Implement Gramm-Leach-Bliley Act Provisions
SEC Issues NYSE Proposed Rule Change to Rescind Rule 390 and Request for Comment on Market Fragmentation
House Subcommittee Passes Hedge Fund Disclosure Bill
SEC To Conduct Roundtable On Investment Advisers
SEC Holds Open Meeting On Electronic Filing and Form ADV Revisions
MARCH 2000
Federal Reserve Board Proposes New Rules to Create a Financial Holding Company NASD Announces Restructuring of NASDAQ
Office of the Comptroller of the Currency Proposes New Rules to Allow National Banks to Establish Financial Subsidiaries
SEC Charges Hedge Fund and its Adviser with Fraud
SEC Orders Securities Exchanges and NASDAQ to Quote Equities Prices in Decimals
SEC Sanctions Trader, Investment Adviser and Supervisor in Connection with Derivatives Trading
Treasury Seeks to Eliminate "Exchange" Funds
FEBRUARY 2000
Glass-Steagall Repealed
SEC Proposes to Revise Form ADV
SEC Considering Principal Transactions Rule
SEC Proposes to Expand Broker-Dealer Activities Exemption From The Investment Advisers Act
SEC Pay-To-Play Rule is Proposed
