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ARTICLE · 24 NOVEMBER 2008

New Investment-Related Rules Announced

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A number of investment-related rules were recently announced or are imminent.

United StatesStrategy
Foley & Lardner
Foley & Lardner
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New Investment-Related Rules Announced

A number of investment-related rules were recently announced or are imminent. They include such non-enforcement matters as the U.S. Securities and Exchange Commission's (SEC) proposed requirements for maintaining electronic records; a court ruling regarding the duty of financial institutions to disclose internal incentive programs; The Financial Industry Regulatory Authority, Inc. (FINRA) requirements of arbitrators to make client-requested disclosures of their decisions; FinCen's withdrawal of anti-money laundering rule proposals for investment advisers; and the SEC's disclosure of required information in routine on-site examinations of investment advisers. One enforcement action involved the SEC's penalizing a company's vice president for violation of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940.

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