• New York Court of Appeals Decision Creates Significant Risks that Underwriters May be Deemed Fiduciaries from Alston & Bird LLP. (06/17/05)

• Securities and Exchange Commission Adopts Voluntary Redemption Fee Rule from Alston & Bird LLP.(03/04/05)

• SEC Issues Final Rule Regarding Voluntary Redemption Fees from Alston & Bird LLP. (03/24/05)

• You Are A Private Investment Fund Manager - Do You Now Have To Register With The SEC? from Arnold & Porter LLP. (02/10/05)

• SEC Releases Final Rule to Require Registration of Hedge Fund Advisers from Alston & Bird LLP. (12/22/04)

• SEC Releases Final Rule Requiring Hedge Fund Manager Registration from Fried, Frank, Harris, Shriver & Jacobson LLP. (12/08/04)

• SEC Votes to Require Hedge Fund Managers to Register as Investment Advisers from Fried, Frank, Harris, Shriver & Jacobson LLP. (11/01/04)

• SEC Proposes Rule Requiring Hedge Fund Adviser Registration from Sadis & Goldberg LLC. (09/17/04)

• SEC No-Action Letter Concerning Investment Advisers that Use the Recommendations of Independent Third Parties to Vote Client Proxies (Elaborating on May 27, 2004 Egan Jones Letter). (09/22/04)

• SEC Proposes Rule and Rule Amendments Requiring Registration of Certain Hedge Fund Managers from Fried, Frank, Harris, Shriver & Jacobson LLP. (08/13/04)

• SEC Proposes to Require Hedge Fund Adviser Registration from Covington & Burling. (08/06/04)

• SEC Final Rule:  Investment Company Governance. (07/28/04)

• SEC Proposed Rule:  Registration Under the Advisers Act of Certain Hedge Fund Advisers. (07/21/04)

• SEC Proposes Requiring Hedge Fund Adviser Registration from Wachtell, Lipton, Rosen & Katz LLP. (07/28/04)

• Senate Banking Committee Hearing on "Regulation of the Hedge Fund Industry". Statement by Sen. Richard Shelby. Statement by Sen. Michael B. Enzi. Remarks of SEC Chairman. Remarks of CIO of CalPERS. Remarks of President of Kynikos Associates. Remarks of Chairman of Managed Funds Association. Remarks of Managing Principal of The Hennessee Group. Remarks of General Counsel of CFTC. (07/16/04)

• SEC Votes To Propose Investment Adviser Registration For Hedge Fund Managers from Katten Muchin Zavis Rosenman. (07/15/04)

• SEC Votes to Require Mandatory Hedge Fund Adviser Registration from Fried, Frank, Harris, Shriver & Jacobson LLP. (07/15/04)

• SEC Votes To Propose Requirement That Hedge Fund Advisers Register Under Investment Advisers Act. News Release. Statement of Commissioner Glassman. Opening Statement of SEC Chairman. Closing Statement of SEC Chairman. Statement of Paul F. Roye. Archive of Open Meeting Webcast (RealPlayer Format). Archive of Open Meeting Webcast (Windows Media Format). (07/15/04)

• Registered Advisers To Adopt Codes of Ethics from Fried, Frank, Harris, Shriver & Jacobson LLP. (07/12/04)

• SEC Final Rule:  Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies.  (06/28/04)

• SEC Releases Text of No-Action Letter Regarding "Independence" of Third Parties Who Provide Recommendations to Investment Advisers Regarding Voting Client Proxies.(06/09/04)

• SEC Final Rule:  Supervised Investment Bank Holding Companies. (06/10/04)

• Staff Issues No-Action Letter Concluding that "Written Communication by an Investment Adviser that Does No More Than Respond to an Unsolicited Request by a Client, Prospective Client or Consultant for Specific Information About the Adviser's Past Specific Recommendations is Not an 'Advertisement'." (03/04/04)

• NASD Releases the Report of the Task Force Formed to Consider How Omnibus Processing of Mutual Fund Transactions Might Affect the Imposition of Mandatory Redemption Fees. (02/05/04)

• SEC Requires Investment Advisers to Adopt Written Supervisory Procedures and to Appoint a Chief Compliance Officer from Fried, Frank, Harris, Shriver & Jacobson LLP. (01/14/03)

• Financial Service Department Compliance, Compliance, Compliance from Wachtell, Lipton, Rosen & Katz (12/29/03)

• NASD Issues Sample Disclosure Statement For Explaining Breakpoint Discounts to Be Provided to Customers Who Purchase Mutual Funds. (12/24/03)

• SEC Final Rule: Compliance Programs of Investment Companies and Investment Advisers. (12/18/03)

• Department of Treasury and SEC Release Joint Final Rule on Customer Idenfitication Programs for Mutual Funds. (5/1/03)

• Discussion by Nixon Peabody of Mayo v. Dean Witter, a California case holding that the state's ethical rules for arbitrators do not apply to securities arbitrations (5/1/03)

• FAQs about EDGAR filing of certified shareholder reports by registered management investment companies (2/10/03)

• Final rules re: disclosure of mutual fund proxy votes (1/31/03)

• Final rules re: certification of management investment company shareholder reports (1/27/03)

• What the Sarbanes-Oxley Act Means for Registered Investment Companies, from Pepper Hamilton, LLP (November 2002)

• New Mutual Fund Legislative and Latest SEC Developments, from Kirkpatrick & Lockhart LLP (8/1/03)

• Panel Discussion Summary: A Guide to USA Patriot Act Requirements and Compliance for Unregistered Funds, from Kirkpatrick & Lockhart LLP (8/1/03)

• NASD Issues Notice to Members: Refunds to Customers Who Did Not Receive Appropriate Discounts in Connection with Purchase of Class A Shares of Front-End Load Mutual Funds and the Capital Treatment of Refund Liability. (8/26/03)

• SEC Issues Final Rule on Custody of Funds or Securities of Clients by Investment Advisers.(9/26/03)

• SEC Releases Staff Report on Hedge Funds. Press Release. Report: The Implications of the Growth of Hedge Funds.(9/29/03)

• SEC Releases Text of Final Amendments to Investment Company Advertising Rule.(10/02/03)

2. Resource Links

• Remarks of SEC Commissioner Campos Before the SIA-Hedge Fund Conference. (09/23/05)

• Speech by SEC's Associate Director of OCIE:  Practical Guidance for Hedge Fund CCOs Under the SEC's New Regulatory Framework. (05/10/05)

• SEC Issues Report:  "Exemptive Rule Amendments of 2004:  The Independent Chair Condition - A Report in Accordance with the Consolidated Appropriations Act, 2005."
    - Report.
    - Letter From Commissioners Glassman and Atkins Re: Report. (05/03/05)

• NASD Endorses Concise, Web-Based Point of Sale Mutual Fund Disclosure - "Profile Plus" Major Recommendation of NASD Mutual Fund Task Force to SEC
    - News Release.
    - Example of "Profile-Plus" Disclosure. (04/05/05)

• SEC Final Rule and Request for Additional Comment:  Mutual Fund Redemption Fees. (03/14/05)

• Remarks of SEC Chairman Before the Mutual Fund Directors Forum. (02/18/05)

• Remarks of SEC Commissioner Goldschmid:  Should Hedge Funds Be Regulated?  (Nov. 17, 2004). (02/18/05)

• Remarks of SEC's Paul F. Roye Regarding Critical Issues for Investment Company Directors. (02/18/05)

• Remarks of SEC's Paul F. Roye Before the Managed Funds Association Educational Seminar Series 2005 Guidance on the SEC's New Regulatory Framework for Hedge Fund Advisers. (02/14/05)

• SEC Transcript of Commission's Open Meeting Deliberations on Whether to Adopt Rule 203(b)(3)-2 Under the Investment Advisers Act of 1940 To Require Registration of Certain Hedge Fund Advisers (Oct. 26, 2004). (02/08/05)

• SEC's Temporary Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers. (01/10/05)

• Remarks of SEC's Paul F. Roye Before the Managed Funds Association Educational Seminar Series 2005 - Guidance on the SEC's New Regulatory Framework for Hedge Fund Advisers. (01/13/05)

• Remarks of SEC's Paul F. Roye Before the Fund Governance Program Presented by the Mutual Fund Directors Forum and Fund Directions. (12/14/04)

• Speech by SEC's Paul F. Roye Before ICI 2004 Securities Law Developments Conference:  Mutual Fund Regulation - What Happens Next? (Dec. 6, 2004). (12/08/04)

• Speech by SEC Staff Member Paul F. Roye:  SEC's New Rule Requiring Hedge Fund Managers To Register with the Commission as Investment Advisers (Nov. 30, 2004). (12/06/04)

• SEC Final Rule:  Registration Under the Advisers Act of Certain Hedge Fund Advisers (Dec. 2, 2004).
  - Rule Release.
  - Dissent of Commissioners Glassman and Atkins. (12/03/04)

• Commission Staff Issues Interpretive Guidance With Respect to Issues Regarding Addendum A to the Global Research Analyst Settlement. (11/03/04)

• Speech of SEC Staff Member Cynthia M. Fornelli:  Succeeding in the New Regulatory Environment for Hedge Funds. (09/20/04)
  
• Speech by SEC Deputy Director, Division of Investment Management:  Regulation of Investment Advisers - The View From Washington. (09/17/04)
  
• SEC Final Rule: Disclosure Regarding Portfolio Managers of Registered Management Investment Companies. (08/24/04)
  
• Mutual Fund Directors Forum Releases Best Practices Report. Report. SEC Chairman's Statement of Thanks for Report. (07/29/04)
  
• SEC Final Rule: Investment Adviser Codes of Ethics. (07/06/04)