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Advanced Notifications

July 2012

Adviser SRO Bill Stalls Upon Introduction of User Fee Bill

June 2012

LinkedIn Security Breach

MarketCounsel Writes to Congress Opposing the Adviser SRO Bill

April 2012

MarketCounsel’s Comments on SEC’s Red Flags Rules Proposal

Final ERISA Fee Disclosure Rules

February 2012

SEC Proposes Identity Theft Red Flags Rules

June 2011

SEC Finalized Guidance for the “Switch” and Private Fund Management Registration

January 2011

SEC Releases Self-Regulatory Organization and Fiduciary Reports

November 2010

SEC New Rule Proposals to Implement Amendments to the Investment Advisers Act of 1940

July 2010

Massive Changes to Adviser Regulations: New Form ADV Part 2, Dodd-Frank Act and New 12b-1 Fee Rule Proposal

June 2010

SEC Adopts New Rule Regarding “Pay to Play”
Ban on Naked Short Selling

May 2010

FTC Delays Enforcement of Red Flags Rule



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