Search Results for:
Peter D Fetzer
(113)
- Page 4
ARTICLES(113)
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Hedge Fund Managers Subject to SEC Fraud Charges
- April 02, 2013
- LEGAL ALERTS/ARTICLES
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Mutual Funds’ After-Tax Returns Adjusted for Tax on Net Investment Income
- April 02, 2013
- LEGAL ALERTS/ARTICLES
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Recent Newsworthy Remarks by the SEC
- April 01, 2013
- LEGAL ALERTS/ARTICLES
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SEC Issues “Alert” on the Custody Rule
- April 01, 2013
- LEGAL ALERTS/ARTICLES
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Securities Exchange Act Issues For Exchange-Traded Funds
- April 01, 2013
- LEGAL ALERTS/ARTICLES
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Another “Cherry-Picking” Enforcement Action Brought by the SEC
- February 01, 2013
- LEGAL ALERTS/ARTICLES
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SEC Previews Hedge Fund Enforcement Trends for 2013
- February 01, 2013
- LEGAL ALERTS/ARTICLES
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A Compilation of Enforcement and Non-Enforcement Actions
- December 06, 2012
- LEGAL ALERTS/ARTICLES
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A Compilation of Enforcement and Non-Enforcement Actions
- October 01, 2012
- LEGAL ALERTS/ARTICLES
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A Compilation of Enforcement and Non-Enforcement Actions
- July 02, 2012
- LEGAL ALERTS/ARTICLES
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Legislation Introduced to Create SRO for IAs
- May 04, 2012
- LEGAL ALERTS/ARTICLES
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Regulation A Offerings
- May 04, 2012
- LEGAL ALERTS/ARTICLES
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The JOBS Act; Rule 506 Accredited Investor Only Offerings Likely to Be Even More Popular
- May 04, 2012
- LEGAL ALERTS/ARTICLES
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In Light of Recent SEC Guidance, Investment Advisers Should Evaluate and Update Their Social Media Policies
- February 02, 2012
- LEGAL ALERTS/ARTICLES
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Insider Trading Scheme by Hedge Fund Managers and Analysts Subject of Recent Charges by SEC
- February 02, 2012
- LEGAL ALERTS/ARTICLES
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Recent SEC Enforcement Action Underscores Investment Adviser Responsibility for Fair Valuing Portfolio Securities of Mutual Funds It Advises
- February 02, 2012
- LEGAL ALERTS/ARTICLES
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Proposed FINRA Rule 4516: Readily Identifiable and Accessible Records
- December 30, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Revised “Net Worth” Standard for Accredited Investors
- December 29, 2011
- LEGAL ALERTS/ARTICLES
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SEC Takes Action Against Registered Advisers
- December 29, 2011
- LEGAL ALERTS/ARTICLES
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Adviser Sanctioned for Filing False Information on Form ADV and Failing to Disclose to Clients Its Precarious Financial Condition
- December 05, 2011
- LEGAL ALERTS/ARTICLES
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State Regulators Identify Most Common Investment Adviser Violations
- December 05, 2011
- LEGAL ALERTS/ARTICLES
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State Securities Regulators Report on Enforcement Actions
- December 05, 2011
- LEGAL ALERTS/ARTICLES
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SEC Adopts Final Rule on Private Fund Reporting Requirements
- December 02, 2011
- LEGAL ALERTS/ARTICLES