Anastasia T. Rockas

Form PF: Final Rules Adopted by the SEC and the CFTC
Geoff Bauer,Heather S. Cruz,Lawrence D. Frishman,Eric Requenez,Anastasia T. Rockas, May 1, 2012
On November 16, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) published in the Federal Register final rules requiring registered advisers to private funds to report certain information on Form PF. Form PF...

Rule 13h-Exemptive Order
Brian V. Breheny,Matthew B. Collin,Anastasia T. Rockas, May 1, 2012
On April 20, 2012, the SEC issued an order (the “Order”) that (1) temporarily exempts broker-dealers from the recordkeeping, reporting, and monitoring requirements of Rule 13h-1 (the “Rule”) under the Securities Exchange Act of 1934, as amended (the “Exchange...

SEC Staff Responds to Questions About Rule 13h-1
Brian V. Breheny,Matthew B. Collin,Anastasia T. Rockas, April 24, 2012
On April 13, 2012, the staff of the Division of Trading and Markets (the “Staff”) of the Securities and Exchange Commission (the “SEC”) provided a set of responses to questions about Rule 13h-1 under the Securities Exchange Act of 1934, as amended. Rule 13h-1 was adopted on...