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Hedge Fund Enforcement & Regulatory Developments 2009
Chair(s):
Barry R. Goldsmith
Practice Area:
Enforcement (Securities and other financial products),
Hedge funds,
Investment fund management,
Securities and other financial products
Published:
Nov 2009
i
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ISBN:
9781402413063
PLI Item #:
18632
CHB Spine #:
B1777
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Recent Hedge Fund Enforcement Actions and Developments
Chapter 2. Recent SEC Cases Against Hedge Funds
Chapter 3. FINRA Regulatory Notices
Chapter 4. Securities and Exchange Commission Inspections and Examinations in the Post-Madoff ERA
Chapter 5. U.S. Securities and Exchange Commission Regulation of Short Selling
Chapter 6. Shareholder Proxy Access and the Balance of Power in Corporate Governance
Chapter 7. Financial Regulatory Reform: Potential Developments Facing Hedge Funds
Chapter 8. Recent SEC Rulemakings and Interpretations Affecting Hedge Funds and their Managers
Chapter 9. Curbing False Rumors: Updates on Regulatory Actions and Initiatives
Chapter 10. Sample Matrix of Compliance Tests
Chapter 11. Excerpt from Internal Training Presentation: “Rumors: Origination and Dissemination”
Index
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