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| 1 | SEC Confirms Cash Solicitation Rule Not Applicable to Hedge Funds Drinker Biddle & Reath LLP; August 7, 2008, previously published on July 18, 2008 The staff of the U.S. Securities and Exchange Commission released an interpretive letter, on Tuesday, July 15, 2008, clarifying that Investment Advisers Act Rule 206(4)-3 (generally referred to as the cash solicitation rule) does not apply to solicitations of investors in an investment pool such as... |
| 2 | Entering the U.S. Market: Opportunities and Risks Anastasius Efstratiades; Obermayer Rebmann Maxwell & Hippel LLP; August 5, 2008, previously published on July 2008 With a weak dollar and many strong foreign currencies, investors from around the globe (both individuals and institutional) are interested in taking a look at the U.S. market. |
| 3 | Advisers Act Cash Compensation Rule Does Not Apply to Payments Made Exclusively for Soliciting Investors in Investment Pools Steven W. Hansen, Michael F. Mavrides, Steven Vecchio; Bingham McCutchen LLP; August 7, 2008, previously published on July 22, 2008 On July 15, 2008, the U.S. Securities and Exchange Commission staff issued an Interpretive Letter (the "Interpretive Letter") clarifying the staff's position on Rule 206(4)-3 (the "Solicitation Rule") promulgated under the Investment Advisers Act of 1940 (the "Advisers... |
| 4 | Federal Officials Propose Rescue Plan and Full Support for Fannie Mae and Freddie Mac Timothy R. McTaggart, Travis P. Nelson; Pepper Hamilton LLP; July 31, 2008, previously published on July 21, 2008 On July 15, 2008, after a weekend of extensive meetings and discussions, Treasury Secretary Henry Paulson presented a dramatic plan to the Senate Banking Committee to address the circumstances at the two housing Government-Sponsored Enterprises (GSEs) - Fannie Mae and Freddie Mac. |
| 5 | SEC Proposes to Ease Restrictions on Foreign Broker-Dealers Dealing with U.S. Clients Matthew R. Silver; Pepper Hamilton LLP; July 31, 2008, previously published on July 21, 2008 On June 27, 2008, the SEC proposed, revisions to Rule 15a-6 under the Securities Exchange Act of 1934 (the Securities Exchange Act) that would ease the regulatory burdens for foreign broker-dealers operating in the Untied States, as well as expand the range of services foreign broker-dealers could... |
| 6 | Federal Court Rules on the Taking of Short-Swing Profits and Section 16 Issues Matthew R. Silver; Pepper Hamilton LLP; July 31, 2008, previously published on July 21, 2008 Section 16 of the Securities Exchange Act of 1934 (the Securities Exchange Act) requires any officer, director or any person who is directly or indirectly the "beneficial owner" of more than 10 percent of any class of any registered equity security to file certain reports with the SEC and... |
| 7 | An IRS Trifecta: Three Public Releases Affecting Hedge Funds and Funds of Funds Issued on One Day Mark H. Leeds; Greenberg Traurig, LLP; July 31, 2008, previously published on July 2008 Normally, the July 4 holiday brings sunshine, bar-b-que and lots of time with family and friends. This year, however, the Northeast was wet and cold for the nation's birthday. Outdoor plans were cancelled and I was left to ponder three Internal Revenue Service (IRS) releases all issued on the... |
| 8 | SEC Proposes Revisions to Rules Relating to Reliance on Credit Ratings Baker, Donelson, Bearman, Caldwell & Berkowitz, PC; July 31, 2008, previously published on July 11, 2008 On July 2, 2008, the United States Securities and Exchange Commission (SEC) released proposed amendments to the Investment Advisers Act of 1940 (RIA Act) and the Investment Company Act of 1940 (IC Act) to reduce the reliance of investment managers on credit ratings of fixed income securities. |
| 9 | SEC Takes Aggressive Action to Control Short Selling and the Spread of False Rumors Proskauer Rose LLP; July 30, 2008, previously published on July 2008 In rapid succession over a three-day period, the Securities and Exchange Commission ("SEC") has taken drastic measures to protect investors and stabilize U.S. markets by issuing an emergency order limiting "naked" short selling, by issuing 50 subpoenas to hedge funds to obtain... |
| 10 | Money Market Funds and Closed-End Fund Preferred Stock--Watch the Ball, Not the Triggers Stephen A. Keen, Frederick C. Leech; Reed Smith LLP; July 31, 2008, previously published on July 17, 2008 The recent no-action letter, issued jointly by the staff of the Division of Investment Management ("IM") and the Division of Corporate Finance ("Corp Fin") of the Securities and Exchange Commission (the "Commission") to Eaton Vance Management (pub. avail. June 13,... |
