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ARTICLE · 20 MAY 2009

SEC Votes To Propose Amendments To Adviser Custody Rule

Goodwin Procter LLP
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At its open meeting on May 13, 2009, the SEC voted to propose amendments to Rule 206(4)-2 under the Investment Advisers Act of 1940, as amended.

United StatesFinance and Banking

Developments Of Note

  • SEC Votes To Propose Amendments To Adviser Custody Rule
  • Treasury Proposes Framework For Regulating OTC Derivatives
  • Fourth Circuit Reverses District Court Dismissal Of Class Action Securities Fraud Claims Against Mutual Fund Investment Adviser
  • SEC Settles Administrative Proceeding With Investment Adviser And Its Former COO Over Use Of Third-Party Proxy Voting Service
  • Treasury Reopens CPP Application Window For Banks With $500 Million Or Less In Total Assets
  • SEC Files Suit Alleging Insider Trading In Credit Default Swaps
  • FinCEN Semi-Annual SAR Review Discusses The Securities And Futures Industries

Other Item Of Note

  • SEC Staff Posts Standardized Request For Confirming Account Balances As Part Of Examinations

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