May 8, 2013
"CFTC and SEC Adopt Identity Theft Red Flag Rules"
Stroock Special Bulletin
By: Hillel M. Bennett, Lior J. Ohayon, Conrad G. Bahlke and Gary L. Granik
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April 15, 2013
"SEC Clarifies Regulation FD Requirements for Issuer Disclosure of Material Nonpublic Information Through Social Media Channels"
Stroock Special Bulletin
By: Jeffrey S. Lowenthal and Benjamin J. Warach
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February 2013
“Unibanco After Dodd-Frank: The Extraterritorial Reach of the Investment Advisers Act”
The Investment Lawyer
By: Gary L. Granik, Janna Manes, Nicole M. Runyan, Lauren Connolly and Linda Y. Kim
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January 8, 2013
"Key Tax Provisions of the Fiscal Cliff Deal"
Stroock Special Bulletin
By: Micah W. Bloomfield, Steven W. Rabitz, Jeffrey D. Uffner and Neal D. Richards
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September 12, 2012
"SEC Proposes Rule Amendments to Implement Elimination of the Prohibition Against General Solicitation and General Advertising"
Stroock Special Bulletin
By: Hillel M. Bennett, Lior J. Ohayon and Janna Manes
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April 3, 2012
"How the JOBS Act Affects Private Funds"
Stroock Special Bulletin
By: Hillel M. Bennett, Lior J. Ohayon, Terisa H. Lee and Amit S. Aulakh
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November 3, 2011
"DOL’s Final Advice on Participant Directed Plans: 'On the Level and Get with the (Computer) Program'?"
Stroock Special Bulletin
By: Steven W. Rabitz
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October 3, 2011
"SEC Adopts Large Trader Reporting System"
Stroock Special Bulletin
By: Hillel M. Bennett, Gary L. Granik and Anna J. Cho
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July 22, 2011
"SEC Adopts New Exemptions for Venture Capital Fund Advisers, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers"
Stroock Special Bulletin
By: Hillel M. Bennett, Gary L. Granik, Lior J. Ohayon and Anna J. Cho
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July 20, 2011
"SEC Adopts Rules Implementing Dodd-Frank Amendments to the Investment Advisers Act"
Stroock Special Bulletin
By: Hillel M. Bennett, Gary L. Granik and Jonathan M. Burke
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January 18, 2011
"Congress Changes Tax Rules Governing Regulated Investment Companies"
Stroock Special Bulletin
By: Jonathan S. Kusko and Susan Cohen
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December 3, 2010
"Repeal of Dodd-Frank Confidentiality Protection for SEC: What Investment Advisers Lost and What Remains"
The Hedge Fund Law Report
By: Hillel M. Bennett, Gary L. Granik and Alessandro J. Sacerdoti
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October 28, 2010
"DOL’s Proposed Changes to Definition of Fiduciary: Significant Impacts for Financial Companies and Plans"
Stroock Special Bulletin
By: Steven W. Rabitz and Marissa J. Holob
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August 18, 2010
"SEC Proposes New Distribution Framework for Mutual Funds"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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July 13, 2010
"SEC Adopts Final Rules on Pay to Play"
Stroock Special Bulletin
By: Sarah R. Davidoff, Steven W. Rabitz, Marissa J. Holob and Lauren J. Waxman
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May 2010
"SEC Approves Money Market Fund Reform Rules"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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May 2010
XBRL Data Tagging Rules for Mutual Funds Effective January 1, 2011
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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January 2010
"SEC Adopts Amendments to the Custody Rule"
Stroock Special Bulletin
By: Gary L. Granik, Hillel M. Bennett, Sarah R. Davidoff and Bradford A. Green
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January 2009
"SEC Adopts Mutual Fund Summary Prospectus"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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July 16, 2008
“Side Pockets On The Rise – Issues, Analysis, And Impact”
The Review of Securities & Commodities Regulation, Vol. 41 No. 13
By: Sarah R. Davidoff, Gary L. Granik and Rachel E. Meyer
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February 2008
"SEC Proposes Mutual Fund Summary Prospectus"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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August 2007
“SEC Adopts New Antifraud Rule to Protect Investors in Pooled Investment Vehicles”
Stroock Special Bulletin
By: Hillel M. Bennett, Sarah R. Davidoff, and Rachel E. Meyer
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January 4, 2007
“SEC Proposes New Rules to Protect Investors in Pooled Investment Vehicles”
Stroock Special Bulletin
By: Hillel M. Bennett and Sarah R. Davidoff
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November 2006, Volume 8, No. 3
"D.C. Circuit Vacates SEC’s Hedge Fund Rule"
Derivatives: Financial Products Report
By: Gary L. Granik, Sarah R. Davidoff, Hillel M. Bennett and Janna Manes
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August 2006
“July 2006 SEC Guidance Regarding Client Commission Practices Under Section 28(e) of the Exchange Act"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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July 10, 2006
"D.C. Circuit Vacates SEC’s Hedge Fund Rule"
Stroock Special Bulletin
By: Gary L. Granik, Sarah R. Davidoff, Hillel M. Bennett and Janna Manes
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December 20, 2004
"SEC to Require Registration of Certain Hedge Fund Advisers"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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August 2, 2004
"SEC Rule 204A-1: Investment Adviser Codes of Ethics"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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July 14, 2004
"SEC Adopts New Rule 206(4)-7: Investment Adviser Compliance Programs"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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June 21, 2004
"SEC Rule 38a-1: Investment Company Compliance Programs,"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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May 24, 2004
"The Aftermath of the Mutual Fund Scandals: Ethics Through Rulemaking and Legislation -- Program of the CityBar Center for Continuing Legal Education"
By: Chaired by Stuart H. Coleman
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February 2, 2004
"NASD Issues Notice to Members on Rule 2790 -- Purchase and Sale of Initial Public Offerings of Equity Securities"
Stroock Special Bulletin
By: Hillel M. Bennett and Mark D. Salzberg
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January 22, 2004
"Investment Company Disclosure Regarding Nominating Committee Functions and Communications between Shareholders and Boards"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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December 4, 2003
"NASD Revises Rules Governing the Purchase and Sale of Initial Public Offerings of Equity Securities"
Stroock Special Bulletin
By: Hillel M. Bennett and Mark D. Salzberg
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December 4, 2003
"NASD Revises Rules on Purchase and Sale of Equity Security IPOs"
Derivatives Financial Products Report
By: Hillel M. Bennett and Mark D. Salzberg
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November 6, 2003
"SEC Proposed Rules To Increase Proxy Access by Shareholders"
Stroock Special Bulletin
By: Melvin Epstein, Michelle Vago and Janna Manes
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November 3, 2003
"SEC Amends Investment Company Advertising Rules"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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October 6, 2003
"Securities and Exchange Commission Issues Report on Hedge Funds"
Stroock Special Bulletin
By: Bradley Kulman
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October 3, 2003
"SEC Amends Investment Adviser Custody Rule"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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July 1, 2003
"Customer Identification Programs for Mutual Funds"
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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June 16, 2003
"SEC Final Rules Under the Sarbanes-Oxley Act of 2002"
Stroock Capital Markets
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April 24, 2003
SEC Amendments to Investment Company Rule 17f-4 Change Fund Custody Requirements
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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April 14, 2003
Proxy Voting-Related Requirements for Registered Management Investment Companies
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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March 11, 2003
New SEC Rule and Amendments Address Proxy Voting Requirements for Investment Advisers
Stroock Special Bulletin
By: Stroock's Investment Management Practice Group
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November 1, 2002
Treasury Department Proposes Rule on Anti-Money Laundering Programs for Unregistered Investment Companies
Stroock Special Bulletin
By: Hillel M. Bennett, Bradley Kulman and Janna Manes
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