Caroline L. Harrington

Massachusetts Adopts New Regulations for Private Fund Advisers
Richard A. Goldman,Caroline L. Harrington,Robert G. Leonard, February 14, 2012
Massachusetts recently approved regulations relating to investment advisers, including the elimination of a frequently relied-on exclusion from the definition of investment adviser, and the adoption of a new exemption from the registration requirements for investment advisers to solely...

SEC Issues Concept Release on Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Caroline L. Harrington,Paul B. Raymond, September 9, 2011
On August 31, 2011, the U.S. Securities and Exchange Commission issued a concept release to seek public comment on a wide range of issues raised by the use of derivatives by investment companies regulated under the Investment Company Act of 1940, as amended. These investment companies include...