FundLaw at Yahoo! Groups http://groups.yahoo.com/group/FundLaw/ FundLaw Donohue Guidance on Fund Oversight Issues Wed, 18 Nov 2009 01:19:17 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1264 http://groups.yahoo.com/group/FundLaw/message/1264 Andrew J. "Buddy" Donohue, Director of the Securities and Exchange Commission's Division of Investment Management, addressed several fund oversight issues in a Final Model Privacy Notice Form Issued Wed, 18 Nov 2009 00:58:50 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1263 http://groups.yahoo.com/group/FundLaw/message/1263 Eight federal regulators, including the Securities and Exchange Commission, today released a final model privacy notice form that is intended to make it easier SEC Proposes Dark Pool Rule Changes Mon, 16 Nov 2009 01:33:54 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1262 http://groups.yahoo.com/group/FundLaw/message/1262 The Securities and Exchange Commission has proposed rule changes to bring a measure of sunlight to dark pools of liquidity. Release No. 34-60997 (Nov. 13, Jones v. Harris Associates Oral Argument Sat, 07 Nov 2009 02:45:07 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1261 http://groups.yahoo.com/group/FundLaw/message/1261 As widely reported, the U.S. Supreme Court heard oral argument in Jones v. Harris Associates, No. 08-586, on Monday, November 2. The issue before the court SEC Extends Regulation S-AM Compliance Date Fri, 06 Nov 2009 20:48:53 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1260 http://groups.yahoo.com/group/FundLaw/message/1260 The Securities and Exchange Commission has extended the compliance date for its affiliate marketing rule, Regulation S-AM, from January 1 to June 1, 2010. FTC Red Flags Rule Further Delayed Mon, 02 Nov 2009 22:46:30 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1259 http://groups.yahoo.com/group/FundLaw/message/1259 The Federal Trade Commission has further delayed enforcement of its "red flags" rule, until June 1, 2010, for financial institutions and creditors subject to SEC Adopts New Money Fund Reporting Rule as Guaranee Expires Fri, 18 Sep 2009 22:49:34 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1258 http://groups.yahoo.com/group/FundLaw/message/1258 The Department of the Treasury has announced that its Temporary Guarantee Program for Money Market Funds will expire today as scheduled. The expiration was Massachusetts Revises Information Security Requirement Fri, 28 Aug 2009 01:02:47 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1257 http://groups.yahoo.com/group/FundLaw/message/1257 The Massachusetts Office of Consumers Affairs and Business Regulation has announced revisions to its customer information security rule and an extension of the SEC Adopts Affiliate Marketing Rule Thu, 20 Aug 2009 01:40:24 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1256 http://groups.yahoo.com/group/FundLaw/message/1256 With little fanfare, and not even an open meeting, the Securities and Exchange Commission has adopted Regulation S-AM, its version of the affiliate marketing FTC Further Extends Red Flags Rule Enforcement to November 1 Wed, 29 Jul 2009 16:45:35 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1255 http://groups.yahoo.com/group/FundLaw/message/1255 The Federal Trade Commission has announced a further deferral of enforcement of its "red flags" identity theft program requirement until November 1, 2009. SEC Allows Short Sale Reporting Requirement To Expire Tue, 28 Jul 2009 23:34:28 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1254 http://groups.yahoo.com/group/FundLaw/message/1254 The Securities and Exchange Commission has announced that it will allow the Form SH reporting requirement for short sales of equity securities to expire on SEC To Repropose Pay-to-Play Rule Thu, 16 Jul 2009 19:48:40 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1253 http://groups.yahoo.com/group/FundLaw/message/1253 The Securities and Exchange Commission has announced that it will hold an open meeting at 2 pm on Wednesday, July 22, at which it will consider whether to SEC Approves NYSE Broker Voting Restrictions Mon, 06 Jul 2009 00:56:57 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1252 http://groups.yahoo.com/group/FundLaw/message/1252 The Securities and Exchange Commission has approved a New York Stock Exchange rule change that will eliminate broker discretionary voting for the election of SEC Staffer's Concerns about Madoff Were Ignored in 2004 Sat, 04 Jul 2009 22:42:24 GMT John M. Baker http://groups.yahoo.com/group/FundLaw/message/1251 http://groups.yahoo.com/group/FundLaw/message/1251 A Securities and Exchange Commission lawyer raised concerns about Bernard L. Madoff Investment Securities in 2004, but those concerns were ignored because the Money Market Fund Amendments Proposed; Proxy Amendments Next Fri, 26 Jun 2009 20:32:20 GMT Baker, John http://groups.yahoo.com/group/FundLaw/message/1250 http://groups.yahoo.com/group/FundLaw/message/1250 The Securities and Exchange Commission on Wednesday, June 24, voted to propose amendments to Rule 2a-7 under the Investment Company Act of 1940, the rule that