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Events
- 08/03/2011 Hedge Funds: Capital Introduction After Dodd-Frank
- 10/12/2007 Navigating a Hedge Fund in These Volatile Times - 2007
- 05/17/2007 Seminar: Fiduciary Landmines in Organizing and Operating Hedge Funds
- 08/21/2006 Fiduciary Landmines in Organizing and Operating Hedge Funds
In the News
- 05/01/2009 Euromoney web site
- 10/30/2008 Experts Weigh In On Marketing Hedge Funds On Air And Online
- 04/14/2008 UPDate 1-Hedge Fund TCI Charges CSX With Wrongdoing in Suit
Press Releases
- 09/08/2009 Thompson Hine Names New Executive Committee Members
- 01/12/2006 Two Securities Partners Join Thompson Hine 's New York Office
Publications
- 04/12/2012 Investment Management Update: The JOBS Act: Impact on Investment Funds
- 03/30/2012 Investment Management Update: CFTC Adopts Rule Amendments Affecting CPOs and CTAs
- 03/09/2012 Investment Management Update: SEC Amends Performance Fee Rule
- 11/15/2011 Investment Management Update: SEC Approves Form PF
- 09/16/2011 Investment Management Update: SEC Grants No-Action Relief From Pay-to-Play Recordkeeping Rules
- 07/13/2011 Investment Management Update: SEC Adopts New Rules and Amendments Under Dodd-Frank Act
- 06/06/2011 Investment Management Update: SEC Proposes to Disqualify Felons and Other “Bad Actors” from Rule 506 Offerings
- 05/19/2011 Investment Management Update: SEC Issues Notice Regarding Inflation Indexing of Performance Fee Rule
- 04/25/2011 Investment Management Update: SEC Likely to Delay Adviser Registration Provisions of Dodd-Frank Act
- 02/08/2011 Form ADV Part 2 Drafting Tip No. 3 : Disclosing Disciplinary History
- 02/07/2011 Investment Management Update: SEC Issues Report on Investment Adviser Examinations
- 01/04/2011 Investment Management Update: SEC Extends Compliance Dates for Adviser Brochure Supplements
- 12/20/2010 Form ADV Part 2 Drafting Tip No. 2 : Identifying Conflicts
- 12/15/2010 Investment Management Update: SEC Proposes New Rules and Form ADV Amendments Implementing the Investment Advisers Act Provision of the Dodd-Frank Act
- 12/02/2010 Investment Management Update: SEC Proposes Registration Exemptions for Advisers to Venture Capital Funds and Certain Private Funds and Foreign Advisers
- 11/29/2010 Form ADV Part 2 Drafting Tip No. 1: Getting Started
- 11/22/2010 Investment Management Update: DOL Proposes Update to Definition of Fiduciary to Include More Advisers
- 11/10/2010 Investment Management Update: FINRA Proposes Broker Disclosure Statement for Retail Investors
- 10/28/2010 Investment Management Update: Report Examines Money Market Reform
- 10/21/2010 Investment Management Update: SEC Proposes Rule Defining “Family Office” Exclusion Under Investment Advisers Act
- 08/11/2010 Investment Management Update: SEC Adopts Amendments to Form ADV Part 2
- 08/03/2010 Investment Management Update: SEC Proposes Rescinding Rule 12b-1 and Overhauling of Mutual Fund Distribution Fees
- 07/21/2010 Investment Management Update: SEC Adopts "Pay-to-Play" Rules for Investment Advisers
- 07/01/2010 Investment Management Update: Dodd-Frank Wall Street Reform and Consumer Protection Act—Regulation D Impact
- 03/25/2010 Investment Management Update: SEC Reviews Use of Derivatives by Investment Companies
- 03/23/2010 Investment Management Update: AML Policy Statement on Obtaining and Retaining Beneficial Ownership Information
- 02/04/2010 The Regulation of Investment Funds - A Fordham Law Symposium February 19, 2010
- 01/25/2010 Investment Management Update: Enhanced Governance and Risk Oversight Disclosure for Investment Companies
- 01/19/2010 Investment Management Update: SEC Adopts Amended Custody Rules for Investment Advisers
- 01/05/2010 Investment Management Update: SEC Adopts Rules Regarding Principal Trades with Certain Clients
- 11/11/2009 Investment Management Update: Proposed Amendments to E-Proxy Rules
- 09/29/2009 Investment Management Update: SEC Adopts Interim Final Temporary Rule Requiring Disclosure of Certain Money Market Fund Portfolio Holdings
- 08/03/2009 Investment Management Update: SEC Provides Guidance on "Ordinary Course of Business" Exception
- 07/24/2009 Obama Administration Proposes "Private Fund Investment Advisers Registration Act of 2009"
- 07/01/2009 Investment Management Update: SEC Proposes Changes to the Investment Adviser Act Custody Rule
- 06/22/2009 Investment Management Update: The Administration's Plan for Financial Regulatory Reform and Its Impact on Investment Companies, Investment Advisers and Broker-Dealers
- 06/19/2009 Investment Management Update: SEC Sanctions Adviser and Distributor for Improper Securities Valuation and Selective Information Disclosure
- 05/22/2009 Investment Management Update: SEC Enters Order Against Adviser Related to Proxy Voting
- 04/02/2009 Investment Management Update: Treasury Announces Second Extension of Temporary Guarantee Program for Money Market Funds
- 03/31/2009 Investment Management Update: FINRA Announces New Limited Representative – Investment Banking Registration Category
- 03/03/2009 Investment Management Update: Electronic Filing and Revision of Form D
- 02/16/2009 Investment Management Update: SEC Adopts Summary Prospectus and Related Amendments to Form N-1A
- 12/01/2008 Investment Management Update: Treasury Announces Extension of Temporary Guarantee Program for Money Market Funds
- 11/19/2008 Investment Management Update: SEC Changes Prospectus Summary Requirements
- 11/10/2008 Investment Management Update: Rule Amendments Require EDGAR Filing of Exemptive Applications
- 11/05/2008 Investment Management Update: FinCEN Withdraws Proposed Anti–Money Laundering Rules
- 10/23/2008 Investment Management Update - FTC Grants Six-Month Delay in Red Flag Rules
- 10/21/2008 Investment Management Update: SEC Adopts Interim Temporary Rule Requiring Short Sale Reporting
- 10/03/2008 Investment Management Update: SEC Extends Emergency Orders
- 10/02/2008 Investment Management Update: Treasury Announces Details of Temporary Guarantee Program for Money Market Funds
- 08/19/2008 Investment Management Update - July 2008 SEC ComplianceAlert
- 08/14/2008 Investment Management Update - Investors May Face Higher Tax Bill Following IRS Ruling
- 08/05/2008 SEC Settles Action Against Fund for Violating Socially Responsible Investment Restrictions
- 07/24/2008 Investment Management Update - Clarification of Cash Solicitation Rule
- 05/30/2008 Seventh Circuit Rejects Gartenberg Standard in Adviser Fee Case and Fashions New Test
- 05/16/2008 The Reticent Nature of Hedge Funds vs. the Open, Public Process of Cases Under the U.S. Bankruptcy Code
- 04/18/2008 SEC Proposes Revisions to Regulation S-P and Expansion of Customer Privacy Requirements
- 04/08/2008 SEC Re-Proposes Amendments to ADV Part 2 Form
- 03/24/2008 Court Says Fairness Opinions Are Not Insurance Policies
- 03/03/2008 Distressed Debt Update: A Big MAC
- 02/22/2008 Investment Management Update: Supreme Court Rejects Scheme Liability in Securities Fraud Case
- 11/19/2007 Investment Management Update: Pension Protection Act of 2006 - A Prohibited Transaction Exemption for Cross-Trades
- 10/02/2007 New Suitability Requirements for the Sale of Deferred Variable Annuities
- 09/14/2007 Use of Rule 22c-2 Information for Marketing Purposes
- 08/22/2007 Investment Management Update: NASD Permits Multiple Executive Officers for Annual Compliance Certifications
- 02/13/2007 Emerging Developments in Hedge Fund Law
- 12/07/2006 SEC Keeps Brokers In Line With New Soft Dollar Rules
- 11/06/2006 NYSE Proposes Amendment to Broker Voting Rule
- 11/01/2006 SEC Adopts Amendments to Mutual Fund Fee Rule, Extends Compliance Dates
- 10/27/2006 SEC Adopts Amendments to the Mutual Fund Redemption Fee Rule and Extends Compliance Dates
- 09/27/2006 SEC Adopts Amendments to Redemption Fee Rule and Extends Compliance Dates
- 09/21/2006 Soft Dollar Arrangements: SEC Issues New Interpretive Guidance
- 09/01/2006 New Prohibited Transaction Rules and ERISA Bond Requirements
- 08/28/2006 Investment Management Update: SEC Adopts Fund of Fund Rules
- 07/12/2006 SEC Guidance on Side Letters
- 06/19/2006 Investment Management Update: Update on Fund Governance Rules
- 06/14/2006 Recent NASD Releases, Rules and Amendments
- 04/12/2006 Investment Management - Hedge Funds & Private Equity Funds
- 04/01/2006 Investment Management Alert - Form LM-10 Deadline May 15, 2006
- 03/03/2006 Permanent Approval of NASD Rules on Bond Mutual Fund Volatility Ratings
- 02/06/2006 NASD Interpretive Material on Gifts and Business Entertainment
- 04/15/2005 Fund Compliance Programs: The Annual Review and Report